Academic Council

1 CONTENTS

STATUTE I: DEFINITIONS ...... 5 STATUTE II: THE PHILOSOPHY AND SPIRIT OF STRATHMORE UNIVERSITY ...... 8 STATUTE III: MEMBERS OF THE UNIVERSITY ...... 8 STATUTE IV: THE CHANCELLOR ...... 9 STATUTE V: OFFICERS OF THE UNIVERSITY ...... 9 STATUTE VI: THE VICE-CHANCELLOR ...... 9 STATUTE VII: THE DEPUTY VICE CHANCELLORS ...... 11 STATUTE VII-A: DEPUTY VICE CHANCELLOR FOR ACADEMIC & STUDENT AFFAIRS ...... 12 STATUTE VII-B: DEPUTY VICE CHANCELLOR FOR RESEARCH ...... 12 STATUTE VIII: THE UNIVERSITY SECRETARY ...... 13 STATUTE IX: PRINCIPALS OF CONSTITUENT COLLEGES...... 14 STATUTE X: DEANS OF FACULTIES/SCHOOLS/INSTITUTES ...... 15 STATUTE XI: UNIVERSITY LIBRARIAN ...... 17 STATUTE XII: DEAN OF STUDENTS ...... 18 STATUTE XIII: THE REGISTRAR ...... 19 STATUTE XIV: THE DEAN OF RESEARCH ...... 20 STATUTE XV: EXECUTIVE DIRECTORS ...... 23 STATUTE XV-A: EXECUTIVE DIRECTOR OF FINANCE ...... 23 STATUTE XV-B: EXECUTIVE DIRECTOR OF UNIVERSITY SERVICES ...... 24 STATUTE XV-C: EXECUTIVE DIRECTOR FOR HUMAN RESOURCES ...... 24 STATUTE XV-D: EXECUTIVE DIRECTOR OF ADVANCEMENT AND ALUMNI RELATIONS ...... 25 STATUTE XV-E: CHIEF INTERNAL AUDIT AND COMPLIANCE OFFICER...... 26 STATUTE XVI: THE UNIVERSITY COUNCIL ...... 27 STATUTE XVII: MANAGEMENT BOARD ...... 34 STATUTE XVIII: THE ACADEMIC COUNCIL ...... 36 STATUTE XIX: FACULTIES, SCHOOLS AND INSTITUTES ...... 41 STATUTE XX: SCHOOL OF GRADUATE STUDIES ...... 46 STATUTE XXI: TEACHING DEPARTMENTS ...... 52 STATUTE XXII: LEARNING AND TEACHING SERVICES ...... 55 STATUTE XXIII: UNIVERSITY CHAPLAINCY ...... 57 STATUTE XXIV: POWERS OF DELEGATION ...... 57 STATUTE XXV: COMMITTEES ...... 58 STATUTE XXVI: COMMITTEES OF THE UNIVERSITY COUNCIL ...... 59 STATUTE XXVI-A: OVERSIGHT COMMITTEE ...... 59 STATUTE XXVI-B: FINANCE COMMITTEE ...... 60 STATUTE XXVI-C: AUDIT & COMPLIANCE COMMITTEE ...... 61 STATUTE XXVI-D: FUNDRAISING &EXTERNAL RELATIONS COMMITTTEE ...... 62 STATUTE XXVI-E: HUMAN RESOURCEPOLICY COMMITTEE ...... 63 STATUTE XXVII: COMMITTEES OF THE MANAGEMENT BOARD ...... 64 STATUTE XXVII-A: UNIVERSITY SERVICES COMMITTEE ...... 65 STATUTE XXVII-B: ACADEMIC ADMINISTRATION& ENHANCEMENT COMMITTEE ...... 66 STATUTE XXVII-C: QUALITY ASSURANCE STEERING COMMITTEE ...... 69 STATUTE XXVII-D: STAFF APPOINTMENT COMMITTEES ...... 70 STATUTE XXVII-E: HUMAN RESOURCES COMMITTEE ...... 71 STATUTE XXVII-F: BUDGET ADVISORY COMMITTEE ...... 73

2 STATUTE XXVII-G: INVESTMENT COMMITTEE...... 74 STATUTE XXVII-H: ICT SERVICES & STRATEGY COMMITTEE ...... 76 STATUTE XXVII-I: PROCUREMENT COMMITTEE ...... 77 STATUTE XXVIII: EXECUTIVE INTERNAL AUDIT AND RISK COMMITTEE ...... 77 STATUTE XXIX: COMMITTEES OF THE ACADEMIC COUNCIL ...... 78 STATUTE XXIX-A: CURRICULUM COMMITTEE ...... 78 STATUTE XXIX-B: STUDENT DISCIPLINARY COMMITTEE ...... 80 STATUTE XXIX-C: STUDENT GRIEVANCE COMMITTEE ...... 83 STATUTE XXIX-D: LIBRARY COMMITTEE ...... 84 STATUTE XXIX-E: ADVISORY COMMITTEE ON STUDENT FINANCIAL AID ...... 85 STATUTE XXIX-F: STUDENTS AFFAIRS COMMITTEE ...... 86 STATUTE XXIX-G: RESEARCH COMMITTEE ...... 88 STATUTE XXIX-H: TIMETABLING COMMITTEE ...... 90 STATUTE XXX: TERMS OF SERVICE FOR STAFF ...... 91 STATUTE XXXI: UNIVERSITY ENTRY REQUIREMENTS ...... 92 STATUTE XXXII: FEES FOR VARIOUS COURSES AND PROGRAMMES ...... 93 STATUTE XXXIII: UNIVERSITY EXAMINATIONS ...... 93 STATUTE XXXIV: DESIGNATION AND AWARDING OF DEGREES ...... 95 STATUTE XXXV: HONORARY DEGREES ...... 96 STATUTE XXXVI: HIGHER DOCTORATES ...... 97 STATUTE XXXVII: CONGREGATION FOR CONFERMENT OF DEGREES ...... 99 STATUTE XXXVIII: EMERITUS PROFESSORSHIP ...... 99 STATUTE XXXIX: STUDENT COUNCIL ...... 99 STATUTE XL: ALUMNI ASSOCIATION ...... 100 STATUTE XLII: TEACHING PHILOSOPHY OF THE UNIVERSITY...... 102 STATUTE XLIII: eLEARNING POLICY ...... 105 STATUTE XLIV: POLICY ON CURRICULUM DEVELOPMENT AND REVIEW ...... 106 STATUTE XLV: RESEARCH PHILOSOPHY OF THE UNIVERSITY ...... 109 STATUTE XLVI: ACADEMIC STAFF DEVELOPMENT POLICY ...... 110 STATUTE XLVII: QUALITY ASSURANCE AND ENHANCEMENT SYSTEM...... 111 STATUTE XLVIII: ICT POLICY ...... 112 STATUTE XLIX: INTELLECTUAL PROPERTY POLICY ...... 114 STATUTE L: EQUAL OPPORTUNITY POLICY ...... 114 STATUTE LI: FINANCE POLICY ...... 114 STATUTE LII: HEALTH AND SAFETY POLICY ...... 115 STATUTE LIII: AIDS AND HIV POLICY ...... 116 STATUTE LIV: STRATHMORE UNIVERSITY PRESS ...... 116 STATUTE LV: RESEARCH CENTRES AND INSTITUTES POLICY ...... 116 STATUTE LVI: INTERNATIONALISATION POLICY ...... 118 STATUTE LVII: DATA PROTECTION POLICY ...... 120 STATUTE LVIII: INTERPRETATION OF THESE STATUTES ...... 123 SCHEDULES ...... 124 SCHEDULE I: FUNCTIONAL AND CORPORATE STRUCTURE OF THE UNIVERSITY ...... 125 SCHEDULE II: APPOINTMENT OF PRINCIPAL OFFICERS ...... 139 SCHEDULE III:M.O.U. BETWEEN OPUS DEI PRELATURE AND STRATHMORE EDUCATIONAL TRUST ...... 144 SCHEDULE IV: ACADEMIC STAFF CATEGORIES ...... 146

3 SCHEDULE V: MANAGEMENT & ADMINISTRATIVE STAFF CATEGORIES...... 148 SCHEDULE VI: TERMS AND CONDITIONS OF SERVICE FOR STAFF ...... 150 SCHEDULE VII: COMMON EXAMINATION REGULATIONS FOR UNDERGRADUATE STUDIES 164 Penalty ...... 170 SCHEDULE VIII: RULES AND REGULATIONS FOR GRADUATE STUDIES ...... 178 SCHEDULE IX: REGULATIONS GOVERNING STUDENT CONDUCT AND DISCIPLINE ...... 190 SCHEDULE X: ICT REGULATIONS ...... 201 SCHEDULE XI: POLICY ON COPYRIGHT OWNERSHIP AND RELATED RIGHTS ...... 213 SCHEDULE XII: FINANCIAL REGULATIONS ...... 219 SCHEDULE XIII: GUIDELINES FOR DEVELOPMENT CAMPAIGN MANAGEMENT ...... 238 SCHEDULE XIV: QUALITY ASSURANCE AND ENHANCEMENT POLICY ...... 243 SCHEDULE XV: STUDENT FINANCIAL AID POLICIES ...... 257 SCHEDULE XVI: GUIDELINES FOR MANAGING PERSONAL DATA ...... 265 SCHEDULE XVII: REGULATIONS FOR THE AWARD OF HIGHER DOCTORATES ...... 276

4 STRATHMORE UNIVERSITY

STATUTES

In exercise of the powers conferred under section 35 of the Strathmore University Charter 2008, the University Council of Strathmore University hereby amends the Strathmore University Statutes, 2008.

These Statutes shall be cited as the Strathmore University Statutes, 2013 edition. The Statutes will be reviewed every five years.

STATUTE I: DEFINITIONS

In these Statutes, unless the context otherwise requires:

“Academic Council” means the Academic Council of Strathmore University.

“Academic Staff” means all employees on academic terms of service who are primarily engaged in teaching and/or research, or hold an appointment of academic status in the University.

“Academic year” means a period of study consisting of two semesters, not necessarily consecutive, or three consecutive trimesters, and any other additional period of study or research as may be prescribed in the regulations for a particular programme of study.

“Administrative Staff” means all employees of the University on administrative terms of service who are not involved in teaching or research.

“Alumni” means former students of Strathmore University, the former Kianda College and Strathmore College, who completed an approved programme of study and qualified for the award of a degree, diploma or certificate.

“Centre” means a research or professional unit, which, for administrative purposes, has been designated by the University as being constituted within a particular Faculty, School or Institute.

“Chancellor” means the Chancellor of Strathmore University as prescribed by Section10 of the Charter.

“Charter” means the Strathmore University Charter 2008 published in Legal Notice No. 86 and contained in the Kenya Gazette Supplement No. 47.

“Constituent Campus” means an extension campus (apart from the main campus) established by Strathmore University.

“Constituent College” means a semi-autonomous academic unit established by the University as provided for by the charter and these statutes.

5 “Commission” means the Commission for University Education under the Universities Act 2012

“Committee” means a committee or committees established by Strathmore University to fulfil a specific mission or mandate under these Statutes.

“Dean” means a person appointed to head a Faculty, School or Institute of the University or a functional unit that deals with academic or student matters across the entire University.

“Department” means an academic unit, which, for administrative purposes, has been designated by the University as being constituted within a particular Faculty, Institute or School for purposes of teaching and/or research.

“Faculty” means an academic unit, whose fundamental function is to teach and do research in one or more subject disciplines.

“Graduate” means a person upon whom a degree or other award has been conferred by the University.

“Institute” means an academic unit whose main function is to provide specialised education and training and/or to do research in specific subject disciplines, and whose status is similar to that of a faculty.

“Lecturer” means a member of the Academic Staff who is a full professor, associate professor, emeritus professor, senior lecturer, lecturer, or a person who holds a research post, which the University Council has recognised as equivalent to any of the listed posts.

“Lecture Hour” corresponds to a one-hour lecture, a two-hour tutorial or a three-hour practical session.

“Main Campus” is the location in Madaraka Estate, Nairobi, where Strathmore University was founded.

“Management Board” means the management board of Strathmore University.

“Opus Dei” means the Prelature of the Holy Cross and Opus Dei.

“School” means an academic unit whose primary function is to provide professional education and /or graduate education and to do research in a particular subject discipline of study, and whose status is similar to that of a faculty.

“Semester” means a period of study consisting of sixteen (16) weeks or its equivalent in contact hours. Normally an academic year will have two semesters.

“Statutes” means the operational rules and regulations enacted by the University Council for the governance and administration of the University.

6 “Student” means a person registered by the University for the purpose of obtaining a qualification of the University or any other person who is determined by the Academic Council to be a student.

“Trustees” means the Board of Trustees of Strathmore Educational Trust.

“University” means Strathmore University, established according to section 3 of the Charter.

“University Council” means the governing body of Strathmore University established under section 13 of the Charter.

“Vice-Chancellor” means the Vice-Chancellor of Strathmore University.

In these Statutes, the words and expressions importing masculine gender shall include, where applicable, the feminine gender.

7 STATUTE II: THE PHILOSOPHY AND SPIRIT OF STRATHMORE UNIVERSITY

1. The University acknowledges the person of St. Josemaria Escriva, founder of Opus Dei, who inspired its establishment and whose teachings guide its spirit;

2. Although the University is not a religion-based or officially ecclesial institution, in matters of faith and morals it is committed to following the teachings of the Magisterium of the Catholic Church;

3. In recognition of (1) and (2) the Trustees have signed a Memorandum of Understanding with the Prelature of the Holy Cross and Opus Dei, which appears as Schedule III of these Statutes, by which the Chaplaincy of the University and all related activities have been entrusted to a priest of the Prelature.

STATUTE III: MEMBERS OF THE UNIVERSITY

1. The following are the members of the University, as provided for in Section 9 of the Charter:

(a) The Chancellor (b) The Members of the University Council (c) The Vice-Chancellor (d) The University Secretary (e) The Deputy Vice-Chancellors (f) The Principals of Colleges (g) The Registrar (h) The Deans of Faculties, Schools or Institutes or other specified functional divisions (i) The Students (j) The Staff of the University (k) The Dean of Students (l) The University Librarian (m) The University Chaplain (n) Such other members of staff of the University, the Alumni, or any other person or body formally admitted into association with the University.

2. The University Council, on the recommendations of the Management Board, shall have power to declare such other persons members of the University, as it may deem fit.

3. Membership of the University shall terminate when a person designated as a member ceases to hold any of the offices or status designated under section 9 of the Charter and this Statute.

8 STATUTE IV: THE CHANCELLOR

1. The Prelate of Opus Dei shall be the Chancellor of the University as prescribed by section 10 of the Charter.

2. The Chancellor may exercise the powers and functions of his Office in person or through the Pro- Chancellor as prescribed by Section 10(2) of the Charter.

3. The Chancellor shall in the name of the University, in person or through the Pro- Chancellor or his designated appointee, confer degrees and grant diplomas, certificates and other awards of the University.

4. The Chancellor shall exercise any powers and perform any other functions of his Office as may be provided in these Statutes in accordance with the Charter.

STATUTE V: OFFICERS OF THE UNIVERSITY

1. The following shall be the principal Officers of the University:

(a) Vice-Chancellor (b) Deputy Vice Chancellors (c) University Secretary (d) Principals of Constituent Colleges

2. The following shall be the Senior Officers of the University:

(a) Registrar (b) Executive Director of Finance (c) Executive Director of University Services (d) Executive Director for Human Resources (e) Executive Director of Advancement and Alumni Relations (f) Chief Internal Audit and Compliance Officer (g) Deans of Faculties, Schools or Institutes (h) Dean of Research (i) University Librarian (j) Dean of Students

3. The Functional and Corporate Structure of the University is shown in Schedule I of these Statutes.

STATUTE VI: THE VICE-CHANCELLOR

1. The Vice-Chancellor shall be appointed by the University Council in consultation with the Chancellor subject to the provisions of the Charter and these Statutes.

9 2. The terms and conditions of appointment of the Vice-Chancellor shall be as set out in Schedule II of these Statutes, and subject to amendment thereto by the University Council from time to time.

3. The person appointed Vice-Chancellor shall normally be of the rank of university professor.

4. The Vice-Chancellor shall hold office for a period of five years and shall be eligible for re-appointment in accordance with the provisions of these Statutes. The Vice- Chancellor may resign his/her office by giving six months’ notice in writing to the University Council, and the University Council may terminate the appointment of the Vice-Chancellor by giving six months’ notice in writing or may remove him/her in accordance with section 6.1 of Schedule II of these Statutes.

5. The Vice-Chancellor is the principal academic and administrative officer of the University, and, as such, shall have overall responsibility for the direction, organisation, administration and programs of the University. Specific responsibilities of the Vice Chancellor shall include the following:

(a) Encouraging, promoting and facilitating the very best academic and organisational performance across the whole University;

(b) Safeguarding, promoting and giving due priority to the educational aims of the University;

(c) Providing strategic direction and leadership to the University, and positioning and representing the University internationally, nationally, and regionally;

(d) Overall responsibility for all policy matters in relation to academic affairs, finance and resource allocation, planning, physical resources, personnel planning and development, university relations, security, research and intellectual property, quality assurance, fund-raising and the general development and advancement of the University;

(e) Ensuring that the governance, management and administration of the University are efficient and effective;

(f) Fostering collegial governance within the University and in its relationship with the University Council and the Chancellor;

(g) Being the accounting officer of the University; (h) Securing and continuing the growth of the University’s financial base;

(i) Bearing the overall responsibility for the general conduct and discipline of students and staff of the University;

10 (j) Providing strategic direction and leadership to the members of the Management Board reporting to him or her;

(k) Being the Secretary to the University Council; and in discharging this role, provide guidance to the Chairperson and members of Council about their responsibilities under the Charter, Statutes, policies and regulations to which they are subject, including legislation, and on how these responsibilities should be discharged. The Secretary to the Council shall also bear the responsibility of alerting the Council when any proposed course of action exceeds the Council's powers or is contrary to legislation or to the provisions of the Charter;

(l) Being the Chairman of the Academic Council and the University Management Board;

(m) In consultation with the Chancellor, the Academic Council and the Management Board, determine the date of graduation, when degrees of the University shall be conferred and diplomas, certificates and other credentials awarded.

6. The Vice-Chancellor may assign or delegate any of his or her duties to a committee or to a member of the University staff and, may at his discretion, withdraw any such assignment or delegation at any time.

7. The Vice-Chancellor shall have such other powers and duties as may be conferred upon him or her by the University Council in accordance with the Charter.

STATUTE VII: THE DEPUTY VICE CHANCELLORS

1. Deputy Vice-Chancellors shall be appointed by the University Council in consultation with the Chancellor to assist the Vice-Chancellor in the management of academic and administrative functions of the University with such responsibilities and duties as the University Council may specify from time to time.

2. The University Council shall appoint Deputy Vice-Chancellors in accordance with the provisions of these Statutes.

3. The terms and conditions of appointment of Deputy Vice-Chancellors are as set out in Schedule II of these Statutes, and subject to amendment thereto by the University Council from time to time.

4. The person appointed to the position of Deputy Vice-Chancellor shall normally be of the rank of associate professor or higher.

5. Deputy Vice-Chancellors shall hold office for a period of five years; the appointment shall be renewable subject to satisfactory performance. A Deputy Vice-Chancellor may resign his/her office by giving six months’ notice in writing to the University Council, or the University Council may terminate the appointment of a Deputy Vice-Chancellor

11 by giving six months’ notice in writing or may remove him/her in accordance with section 6.2 of Schedule II of these Statutes.

6. Deputy Vice-Chancellors shall be ex-officio members of the University Council, but will not have voting rights at Council meetings.

7. Deputy Vice-Chancellors shall be responsible to the Vice-Chancellor and shall perform such duties as may be delegated to them by the Vice-Chancellor in accordance with these Statutes.

STATUTE VII-A: DEPUTY VICE CHANCELLOR FOR ACADEMIC & STUDENT AFFAIRS

1. There is a Deputy Vice Chancellor (DVC) for Academic and Student Affairs who shall be the head of the Academic and Student Affairs division of the University.

2. The Deputy Vice-Chancellor for Academic and Student Affairs shall be responsible for the following matters:

(a) Oversight responsibility for Faculties/Schools and faculty support, and in that capacity shall deal with policy matters pertaining to admission of students, learning and teaching processes, examinations, academic staff planning and development, academic staff recruitment, training and appraisal, academic quality assurance, and student development services(mentoring, student health, attachment and internship, career services);

(b) Providing leadership in planning for academic resources and having oversight responsibility for the University’s academic development strategy and policy regarding student quality and demographics, staff development, programme development, learning and teaching, examinations, academic information resources, student discipline, academic staff discipline;

(d) Overseeing and monitoring the performance of Registrar’s Office; Dean of Students; Deans of Schools, Faculties or Institutes; Strategy and Quality Assurance; Library Services; Mentoring Services.

3. The Deputy Vice Chancellor for Academic &Student Affairs shall report to the Vice Chancellor, the Management Board, and the Oversight Committee of University Council; and shall be the Secretary to the Academic Council. He or she shall chair the Academic administration & Enhancement Committee of the Management Board.

STATUTE VII-B: DEPUTY VICE CHANCELLOR FOR RESEARCH

1. The Deputy Vice Chancellor for Research shall be the head of the Research division, and shall have oversight responsibility for the strategic direction and focus of research

12 undertaken by the University. He or she shall advise the Vice Chancellor on all matters concerning research performed by the University.

2. The Deputy Vice-Chancellor for Research shall be responsible for development, implementation, promotion and evaluation of the University’s research strategy and research policy. He or she will oversee the following matters: (a) Promotion and co-ordination of research and innovation activities in the University; (b) Communication of research and publication of research findings; (c) Research ethics management; (d) Research management and support, including research fundraising; (e) Transfer of SU’s innovation into industry, and commercialisation of research outputs of the University; (f) Establishing research collaborations with other universities, research institutions, stakeholders and industry; (g) Internationalisation strategy and policy for the University;

3. The DVC for Research shall oversee and monitor the performance of Research Services Department; School of Graduate Studies; International Relations Office; Research Centres and Research Institutes based in the University.

4. The DVC for Research shall report to the Vice Chancellor, the Management Board, and to the Oversight Committee of the University Council; and shall chair the University’s Research Committee.

STATUTE VIII: THE UNIVERSITY SECRETARY

1. The University Council in consultation with the Chancellor shall appoint the University Secretary to assist the Vice Chancellor in the effective and efficient management and administration of the University, and in coordinating the operations of the University in support of its strategic goals.

2. The terms and conditions of appointment of the University Secretary are as set out in Schedule II of these Statutes, and subject to amendment thereto by the University Council from time to time.

3. The person appointed University Secretary shall normally be a holder of a PhD degree and should have the relevant experience in administration and management work as may be deemed necessary by the University Council.

4. The University Secretary shall hold office for a period of five years; the appointment shall be renewable subject to satisfactory performance. The University Secretary may resign his/her office by giving six months’ notice in writing to the University Council, or the University Council may terminate the appointment of the University Secretary by giving six months’ notice in writing or may remove him/her in accordance with section 6.2 of Schedule II of these Statutes.

5. The University Secretary shall be the head of the Administration, Finance, Planning and Operations division of the University and in this role shall have oversight responsibility for coordination of administration and operations, and for performance monitoring and, organizational efficiency and effectiveness in the University.

6. The University Secretary shall be responsible for:

(a) Policy matters in relation to administration, finance and physical planning; (b) Monitoring revenue margins and employee productivity; (c) Overseeing efficient running and continuous improvement in University operations to support growth and institutional productivity; (d) Overseeing the promotion, implementation, monitoring and evaluation of University’s Strategy; (e) Effective coordination of administrative functions and operations in the whole University; (f) Monitoring efficiency and performance of all departments and schools; (g) Institutional analysis and reporting including business intelligence reporting; (h) Overseeing and monitoring the performance of the following departments: University Services; Finance; Human Resources; ICT Services; Advancement & Alumni Relations; Procurement; Estates and Physical Planning.

7. The University Secretary shall report to the Vice Chancellor, the Management Board, and shall sit in the Academic Council, and all Committees of the University Council.

8. The University Secretary shall be:

(a) An ex-officio member of the University Council but will have no voting rights at Council meetings;

(b) The Secretary to the Management Board, and responsible for organizing the agenda for Board meetings and for following up implementation of action plans arising from decisions of the Management Board.

9. The University Secretary shall be responsible to the Vice-Chancellor and shall perform such other duties as may be delegated to him by the Vice-Chancellor in accordance with these Statutes.

STATUTE IX: PRINCIPALS OF CONSTITUENT COLLEGES

1. The University Council in consultation with the Chancellor shall appoint Principals of Constituent Colleges in accordance with the provisions of these Statutes.

2. Principals of Constituent Colleges shall have overall responsibility for the administration of such colleges of the University.

14 3. The terms and conditions of appointment of Principals of Constituent Colleges are as set out in Schedule II of these Statutes, and subject to amendment thereto by the University Council from time to time.

4. Principals of Constituent Colleges shall hold office for a period of five years; the appointment shall be renewable. A College Principal may resign his/her office by giving three months’ notice in writing to the University Council, or the University Council may terminate the appointment of a College Principal by giving three months’ notice in writing or may remove him/her in accordance with section 6.2 of Schedule II of these Statutes..

5. Principals of Constituent Colleges shall report to the Vice-Chancellor.

STATUTE X: DEANS OF FACULTIES/SCHOOLS/INSTITUTES

1. The Management Board shall appoint Deans of Faculties, Schools or Institutes subject to approval by the University Council.

2. The terms and conditions of appointment of Deans shall be determined by the Management Board subject to approval by the University Council.

3. A Dean may resign his/her office by giving three months’ notice in writing to the Management Board, or the Management Board may terminate the appointment of a Dean by giving three months’ notice in writing. However, if a Dean becomes of unsound mind or is found guilty of gross misconduct, he or she shall be removed from office by the Management Board in accordance with the established disciplinary procedures for University staff.

4. Persons appointed Deans shall normally be holders of PhD degrees coupled with substantial research experience in relevant subject disciplines to enable them provide academic leadership in their respective faculties, schools or institutes.

5. Deans shall be the accounting officers of their faculties, schools or institutes and shall report to the Vice Chancellor through the Deputy Vice Chancellor for Academic &Student Affairs.

6. The Dean shall have the following responsibilities:

(a) General responsibility for all matters concerning budgets, space, syllabus, selection and admission of students, student records, staffing , teaching and learning, class attendance, examinations, student progression and fees collection, in their School or Faculty;

(b) Ensuring that existing polices as well as new policies and decisions made by the University’s governing bodies such as University Council, Management Board, Academic Council and their respective committees as the case may be,

15 are properly communicated to students and staff of the faculty in a timely manner;

(c) Promoting and fostering academic and professional development of academic, administrative and support staff working in the school through continuing education and performance management;

(d) Ensuring that undergraduate students enrolled in the school are helped and supported to get placement for community and industrial attachments and that supervision and evaluation of the intended experiential learning is properly done;

(e) Providing leadership in the development, organisation and delivery of curricula;

(f) Collaborating with the Communications & University Relations Office and the Admissions Services Department in conducting academic market research and in the promotion and marketing of the School’s academic programmes;

(g) Collaborating with the Mentoring Services Office to ensure that students in the School are assigned mentors on time, and to monitor the effectiveness of the service;

(h) Promoting and fostering research among academic staff in the School;

(i) Preparing and proposing to the Management Board long term (five-year and ten-year) and short-term (three-year) strategic plans and one-year operating plans after approval by Faculty or School or Institute Board;

(j) Identifying and recruiting suitably qualified academic, administrative and support staff in co-ordination with Human Resources Office;

(k) Promoting and maintaining a continuous improvement approach to quality assurance and improvement of learning and teaching in the school’s programs based on the University’s academic quality assurance framework; (l) Preparing and submitting annual performance reports on academic quality assurance to the Quality Assurance Office and to the Academic Council, after passing them through the Faculty or School Board;

(m) Evaluating performance of academic, administrative and support staff in the Faculty, School or Institute and advising the Academic Council and Management Board accordingly;

(n) Presenting examination results to the Faculty or School Board of Examiners and submitting the recommendations of the aforementioned Board of Examiners to the Academic Council;

16 (o) Ensuring that the necessary learning and teaching materials and other academic resources and facilities are available as and when required;

(p) Identifying suitable persons for appointment as external examiners in the Faculty, School or Institute, and making recommendations to the Academic Council after approval by the Faculty or School or Institute Board;

(q) Seeking funding from external sources, in co-ordination with the Advancement Office, to provide financial aid to bright and needy students enrolled in the degrees or other programmes under their responsibility;

(r) Promoting a lively academic atmosphere in the Faculty, School or Institute by organising seminars, talks and conferences;

(s) Ensuring that the Faculty, School, or Institute has a website on which all course information, research information, academic staff profiles and general information about the Faculty/School/Institute are posted. The information should be kept up to date at all times.

7. To foster the success of Deans and enhance their effectiveness the University will conduct an annual and triennial review and evaluation of every Dean including both evaluative and developmental components.

8. The Dean shall report to the Deputy Vice Chancellor for Academic &Student Affairs, and to the Academic Council; shall chair the Faculty or School Board and the School’s Management Committee, and sit in the Academic Council and the MB’s Academic Administration & Enhancement Committee.

STATUTE XI: UNIVERSITY LIBRARIAN

1. The Management Board shall appoint a University Librarian upon such terms and conditions as shall be determined by the Management Board subject to approval by the University Council.

2. The University Librarian shall be in charge of the administration of the University Library services and shall report to the Vice-Chancellor through the Deputy Vice Chancellor for Academic & Student Affairs.

3. The person appointed University Librarian shall normally be a holder of a PhD degree or, in exceptional circumstances, a holder of a master’s degree with substantial professional experience in library management.

4. The University Librarian shall be responsible for:

(a) The day-to-day running of the University Library, including overseeing the acquisition, processing and circulation of library materials.

(b) Library planning and budgeting, including planning the growth of library resources, preparing the annual library budget, planning and implementing library staffing in conjunction with the Human Resources Office; and infrastructure development programs.

(c) Identifying, developing and implementing current information and communication technology (ICT) in the Library in conjunction with the Director of ICT Services.

(d) Creating and maintaining an eResearch repository of research publications (theses, published research papers, conference/seminar papers, research reports, research abstracts, etc.) of students and staff of the University and all research generated while authors are affiliated to the University.

(e) Developing and administering Library User Education programs for staff and students.

(f) Promoting co-operation with other Libraries and Information Resource Centres and facilitating inter-library loans and the exchange of information.

(g) Setting technical standards for all library services within the University.

(h) Performing other tasks that may be delegated to him/her by the Vice- Chancellor or Deputy Vice-Chancellor for Academic & Student Affairs in as much as such tasks relate to library services and the management of information resources.

5. The University Librarian shall ensure that all approved academic programs of the University are well catered for in terms of books, journals and other resource materials and equipment, and shall in addition hereto strive to develop the library into a viable repository of current academic materials and other reading materials of scholastic value.

STATUTE XII: DEAN OF STUDENTS

1. The Dean of Students shall be responsible to the Deputy Vice Chancellor for Academic & Student Affairs for the co-ordination of students’ activities and student welfare; and in this connection, shall have oversight responsibility for sports, games, choir, entertainment, student organizations, Student Council, student advisory services, career development services and students’ personal development.

2. The Dean of Students shall hold office upon such terms and conditions as the Management Board may determine from time to time, subject to approval by the University Council.

18 3. The person appointed Dean of Students shall normally be a holder of at least a master’s degree in education or related fields; and must have substantial experience in directing student life on campus of a university or similar institution of higher education.

4. The Dean of Students shall:

(a) Be the Returning Officer during elections of office-bearers of the Student Council;

(b) Guide and encourage students to form and develop professional and social clubs and societies, and shall, in that regard, provide the necessary guidance to such clubs and societies.

5. There shall be a Sports and Games Committee that will operate under the Office of the Dean of Students. The Committee shall be chaired by the Dean of Students and its Secretary shall be the Sports Administrator, and it shall include all the coaches as its members. This Committee shall report to the Students Affairs Committee on all matters pertaining to sports and games in the University.

STATUTE XIII: THE REGISTRAR

1. The Management Board shall appoint the Registrar upon such terms and conditions as shall be determined by the Management Board, subject to approval by the University Council.

2. The Registrar shall be in charge of academic administration and shall have broad responsibility for directing and coordinating the administration of academic services in the whole University.

3. The person appointed Registrar shall normally be a holder of a PhD degree in education or related fields; however in exceptional circumstances a holder of a master’s degree who has substantial experience in management in higher education may be appointed to the position.

4. The Registrar shall have the following specific responsibilities:

(a) Overseeing the promulgation, consistent application and compliance with policies relating to development, review and delivery of curricula; admission and enrolment of students; course requirements; teaching and learning; academic staff development; examinations; quality assurance; student discipline and grievances; setting of tuition fees; student financial aid; students’ record management; and all other matters concerning administration of academic services in the University;

19 (b) To be the official custodian and steward of student academic records, and coordinate services in the areas of course information, new semester registrations, University calendar, academic timetabling and course scheduling, student progression, certification of enrolment and degrees awarded, administration of examinations, and protection and release of academic transcripts and degree or diploma certificates;

(c) To ensure that Graduands have met all requirements appertaining to coursework, credit requirements and fiscal responsibilities before inclusion in the graduation list and ceremony;

(d) To ensure that the Academic Management System (AMS) is effectively used by all academic departments in the management of student records and processing and publishing of examination results. The Registrar also has the responsibility to make recommendations regarding technological improvements to AMS to expand its capabilities as the need arises;

(e) Preparing the agenda for Academic Council meetings and providing clerking work to the Academic Council. He or she will also be the Secretary to the MB’s Academic Administration& Enhancement Committee;

(f) Ensuring that policy matters and important decisions made by the Academic Council are communicated to all Students and Academic Staff, as may be appropriate; and that the Academic Calendar and the Academic Almanac are published and communicated to all students and staff;

(g) The Registrar shall oversee the following academic support functions: Admissions Services; Learning & Teaching Services; Examinations Services; Academic Registry; Student Financial Aid.

5. The Registrar shall report to the Deputy Vice Chancellor for Academic & Student Affairs, and to the Academic Council and the Management Board.

STATUTE XIV: THE DEAN OF RESEARCH

1. The Management Board shall appoint the Dean of Research upon such terms and conditions as shall be determined by the Management Board, subject to approval by the University Council.

2. The person appointed Dean of Research shall be a senior researcher who holds a PhD degree. He or she should also have substantial research experience in relevant subject discipline(s) to enable him/her provide inspirational leadership to the University’s research community.

3. The Dean of Research shall be in charge of University research administration and shall have broad responsibility for stewarding and administering research services in the whole University.

4. The Dean of Research shall:

(a) Be responsible, with the advice of the Research Committee, for the promotion and implementation of policies and strategies on sponsored research; promotion and co-ordination of research and innovation activities in the University; research management and support; communication and publication of research findings by University’s scholars; research ethics management; technology transfer and innovation; commercialisation and entrepreneurship of research; and fundraising for research from industry and other external organizations;

(b) Be the official custodian and steward of the University’s research repository and ensures that eResearch repository is created and maintained in the Library and is kept up to date;

(d) Ensure that strategic plans for research in the University are prepared and submitted for review by the Research Committee;

(e) Lead the preparation of annual research budgets and submits them for review by the Research Committee;

(f) Develop and apply metrics for measuring research performance by individuals, Schools and the University as a whole;

(g) Ensure that applications for internal research grants are processed in a timely manner and presented for review and evaluation, and award of grants to successful applicants by the Research Committee, in accordance with approved procedures and policies;

(h) Ensure that annual research reports are prepared and submitted to the Academic Council in a timely manner;

(i) Prepare the agenda for the Research Committee meetings and provide clerking work to the Committee;

(j) Ensure that policy matters and important decisions made by the Research Committee are communicated to the University research community.

5. In fulfilling this role, the Dean of Research shall be the head of Research Services Department (RSD), which is the organizational unit charged with research administration in the University.

21 6. The Research Services Department shall:

(a) Help researchers compete effectively for research funding and assist with the establishment of new partnerships;

(b) Enable the transfer of Strathmore innovations into the public domain while protecting the University’s intellectual property rights and interests;

(d) Provide guidance and oversight to ensure that all research is conducted in an ethical and responsible manner, in genuine search for the truth and in compliance with University policies and Government of Kenya regulations.

7. The Research Services Department shall offer the following services to the University’s research community:

(a) Foster contact and understanding with schools, sponsors and principal investigators;

(b) Provide advice on funding opportunities, preparation and processing of grant applications and negotiation of research contracts;

(c) Work in partnership with faculties, schools, institutes, research centres and sponsors to collect and manage the funds awarded;

(d) Protect research results and develop their commercial potential for public benefit, while providing fair reward to individual inventors and the University;

(e) Review continually the University regulations on research policies, resources and services to ensure that they reflect the changing needs of the University and its sponsors and submit proposals to the Research Committee;

(f) Prepare operational research management plans and targets for consideration by the Research Committee;

(g) Prepare strategic plans for research for consideration by the Research Committee;

(h) Prepare annual research budgets in liaison with faculties, schools, institutes and research centres, and submit proposals to the Research Committee;

(i) Provide advice and support in the protection and development of intellectual property arising out of the University’s research and innovation activities.

8. The Dean of Research shall report to the Deputy Vice Chancellor for Research and to the Academic Council and shall be a member of the Academic Council.

22 STATUTE XV: EXECUTIVE DIRECTORS

1. The Management Board shall appoint Executive Directors to assist the Principal Officers of the University in the discharge of administrative and operational functions of the University such as Finance, University Services, Human Resources, and Advancement and Alumni Relations, and any other functions as may be necessary from time to time, subject to approval by the University Council.

2. The terms and conditions of appointment of the Executive Directors shall be determined by the Management Board subject to approval by the University Council.

STATUTE XV-A: EXECUTIVE DIRECTOR OF FINANCE

1. The Executive Director of Finance is the Chief Financial Officer of the University and shall be in charge of the Finance Department.

2. The person appointed Executive Director of Finance should be a senior professional in financial management who holds at least a master’s degree in finance or related fields. The Director should also have a professional qualification in Finance & Accounting and be a member of a professional body.

3. The Executive Director of Finance shall have the following responsibilities:

a) Promoting, implementing, applying and reviewing the University’s financial control policies and financial strategy;

b) Providing advice and information to the Vice Chancellor and the Management Board on financial matters affecting University departments and subsidiary companies ;

c) Being the official custodian of the University’s financial records;

d) Leading and overseeing a range of financial operations: accounting services; asset administration; risk management and financial assurance services; budgeting and financial planning and analysis; loans and receivables; financial reporting and systems; project management; research accounts; treasury and commercial services, etc;

e) Reporting financial performance to the Management Board and the University Council;

f) Stewarding business partnership between the University and Strathmore Research &Consultancy Centre (SRCC) on behalf the Management Board;

23 4. The Executive Director of Finance shall report to the University Secretary, the Management Board and the Finance Committee of the University Council. He or she shall sit on the Management Board.

STATUTE XV-B: EXECUTIVE DIRECTOR OF UNIVERSITY SERVICES

1. The Executive Director of University Services shall be responsible for the running and management of the University Services Department.

2. The person appointed Executive Director of University Services should be a senior manager who holds at least a master’s degree in management or related fields.

3. The Executive Director of University Services shall provide leadership in the delivery of University services. He or she shall oversee the following functions:

(a) Administrative Services (facilities management, security, transport, parking, printing, stores, environmental health and safety, environmental management, venues and events, utilities, gifts); (b) Cleaning Services; (c) Catering Services; (d) Health Services; (e) Accommodation Services.

4. The Executive Director of University Services shall report to the University Secretary, the Management Board and the Audit and Compliance Committee of the University Council; and shall chair the MB’s University Services Committee.

STATUTE XV-C: EXECUTIVE DIRECTOR FOR HUMAN RESOURCES

1. The Executive Director for Human Resources is in charge of the University’s Human Resources Department.

2. The person appointed Executive Director for Human Resources should be a senior manager who holds at least a master’s degree in human resource management or related fields and belong to a professional body in human resource management.

3. The Executive Director for Human Resources shall be responsible for the following matters:

(a) Working in partnership with schools and other departments in the University in identification, recruitment, training, performance management of faculty and staff;

(b) Implementation and application of the University’s human resource development and management policies and strategy;

24 (c) Implementation, application and review of the University’s policies on employment and employee relations;

(d) Leading and overseeing the following operations in the University in coordination with Schools and other departments: selection and recruitment of employees, induction and orientation of new employees, training and development of employees, remuneration and employees’ terms of service, managing employee benefits, performance management, employee relations and welfare, management of leave and employee records, discipline of employees and payroll;

(e) Stewarding industrial relations.

4. The Executive Director for Human Resources shall report to the University Secretary, the Management Board, and to the Human Resources Policy Committee of the University Council.

STATUTE XV-D: EXECUTIVE DIRECTOR OF ADVANCEMENT AND ALUMNI RELATIONS

1. The Executive Director of Advancement and Alumni Relations is in charge of the University’s Advancement& Alumni Relations (AAR) Department, whose role is to help secure philanthropic support for the University, and to provide strategic direction and leadership for all development and alumni relations functions.

2. The person appointed Executive Director of Advancement& Alumni Relations should be a senior manager with vast experience in development and fundraising and should be a holder of at least a master’s degree in relevant fields.

3. The Executive Director of Advancement & Alumni Relations shall have the following responsibilities:

(a) Build enduring relationship with alumni, parents, friends, faculty, staff, corporations and foundations in support of the University’s continued advancement as one of the leading educational institutions, through fundraising and resource development;

(b) Work in partnership with Schools in the University to develop initiatives through which alumni can assist the institution in achieving its development priorities;

(c) Establish and enhance a continuing relationship between the University and its graduates through an active alumni relations programme that engages alumni in the life of the University; and be responsible for central alumni activities working in conjunction with those Schools that have their own dedicated alumni contacts. Good alumni relations should lead to a mutually beneficial, lifelong relationship between the alumnus and the University;

(d) Steward and manage relations between the University and its external development partners;

(e) Promote and foster community engagement;

(f) The Executive Director of Advancement & Alumni Relations shall oversee the following sections: Advancement; Alumni Relations; Community Outreach Program (COP);

(g) The AAR Department will collaborate closely with the Communications & University Relations Department which will be its strategic business partner.

4. The Executive Director-Advancement & Alumni Relations shall report to the University Secretary, the Management Board and to the Fundraising & External Relations Committee of the University Council.

STATUTE XV-E: CHIEF INTERNAL AUDIT AND COMPLIANCE OFFICER

1. The University Council shall appoint the Chief Internal Audit and Compliance Officer upon such terms and conditions as shall be determined by the Council.

2. The person appointed Chief Internal Audit and Compliance Officer should be a senior manager with substantial experience in internal audit and risk management and should be a holder of at least a master’s degree in financial or related fields with a relevant professional qualification.

3. The Chief Internal Audit and Compliance Officer shall have the following responsibilities:

(a) To provide Management with internal control guidance and evaluation plans;

(b) To provide leadership in the provision of services such as operational or financial review of management function; assurance services; special investigations, follow-up;

(c) To provide leadership in planning, conducting and managing internal audit and risk assessment in all the University’s operational and management processes and systems.

4. The Chief Internal Audit and Compliance Officer shall report administratively to the Vice Chancellor and functionally to the Audit and Compliance Committee of the University Council; and shall chair the Executive Internal Audit and Risk Committee.

26 STATUTE XVI: THE UNIVERSITY COUNCIL

1. The University Council of Strathmore University is a body established as provided for under section 13 of the Charter, to govern the University and to assist in promoting its foundational and educational aims.

2. The Membership of the University Council shall be as follows:

(a) Two persons appointed by the Board of Trustees from among its members;

(b) Two persons nominated by Kianda Foundation;

(c) Two senior academicians, appointed by the Board of Trustees with experience in higher education, and none of whom shall be an employee of the University;

(d) Two persons appointed by the Board of Trustees, from public and private sectors in Kenya;

(e) The Vice-Chancellor, who shall be the Secretary to the Council;

(f) The Deputy Vice-Chancellors and the University Secretary shall be ex-officio members but will not have voting rights at Council meetings.

3. There shall be a Chairperson and a Vice-Chairperson of the University Council who shall be appointed by the Council itself by election through secret ballot from among the two members of Strathmore Educational Trust and the two members nominated by Kianda Foundation sitting in the Council.

4. Members of the University Council are appointed as follows:

(a) Nominations for membership to the Council are reviewed by the Nominations Committee set up by the Board of Trustees for this purpose.

(b) Selected candidates are recommended to the Board of Trustees for approval and appointment.

5. Subject to clause 6 of this Statute, a member of the University Council other than an ex- officio member shall normally hold office for a term of three years, upon expiry of which the member shall be eligible for re-appointment. No member may be appointed to the Council for more than three consecutive terms unless such member is the Chair of the Council. A member who is ineligible to be appointed to the Council due to service for the maximum consecutive terms shall become eligible to be nominated after a lapse of one year from the conclusion of his or her last term on the Council.

27 6. The office of a member of the University Council shall become vacant:

(a) If not being an ex-officio member, he resigns his office in writing addressed to the Vice Chancellor;

(b) If the Board of Trustees is satisfied that the member is, by reason of physical or mental infirmity or otherwise, unable to exercise the functions of his office;

7. Where the office of a member of the University Council becomes vacant under clause 6 of this Statute, the Vice-Chancellor shall forthwith notify the vacancy to the Board of Trustees.

8. The following criteria shall be employed in selecting individuals for appointment to the University Council:

(a) Knowledge of, and/or strong evidence of interest in Strathmore as a leading University in Africa; (b) Ability to commit time and effort to the work of the Council and its committees, including fundraising and external representation;

(d) Commitment to the values of university education and the specific role of Strathmore University;

(e) Not employed by the University nor shall they have been so employed within the preceding two years, except for the Vice Chancellor;

(f) The age limit shall be 75 years.

9. The University Council shall have ultimate responsibility for:

(a) The mission and vision of the University; (b) Promoting the aims and objectives of the University; (c) Setting strategic direction for the University; (d) The appointment and performance management of the Vice-Chancellor; (e) Oversight of management; (f) Setting and monitoring broad budget and planning framework, ensuring that the University finances are sound, and taking major financial decisions; (g) Monitoring University performance against strategic objectives; (h) Setting and critically monitoring Council policy and risk management; (i) Extending links and communication between the University and the wider community;

28 (j) Legislative roles, including ensuring that the University is acting ethically and in conformity with all legal requirements; (k) Fundraising and resource mobilization; (l) Council performance and succession planning.

10. The Chairperson of University Council has responsibility for providing effective leadership to Council. In playing that role the Chairperson is responsible for:

(a) Promoting Council's well-being and efficient operation and ensuring that its Members work together effectively and have confidence in the procedures laid down for the conduct of business;

(b) Ensuring that Council Members receive proper induction and training;

(d) Ensuring that Council meetings take place as scheduled and that minutes of meetings accurately record decisions taken and, where appropriate, the views of the individual Council Members;

(e) Ensuring that the Council, in reaching decisions, takes proper account of relevant professional advice and/or guidance issued by the Commission for University Education and other statutory bodies;

(f) Ensuring that the proper procedures are carried through for consultation and approval of appointments to the Council and other Committees and for discussion of other appointments in which the Council has an interest;

(g) Ensuring that Council Members may speak when they need to;

(h) Ensuring that, if necessary, a vote is taken and the result recorded;

(i) Providing an assessment of performance of individual Council Members when they are being considered for re-appointment to the Council;

(j) Taking routine or emergency decisions by Chair's action between meetings and deciding whether emergency or special Council meetings need to be called.

11. The role and duty of the Vice Chairperson is to deputise for the Chairperson either at the Chairperson's request or in the Chairperson's absence. When carrying out this deputising role the Vice Chairperson will carry out the role and duties as set out for the Chairperson.

12. The Vice Chancellor as Secretary to the Council shall be responsible for organising the agenda for Council meetings in consultation with the Chairperson, for convening Council meetings, and for following up the implementation of action plans arising from

29 Council decisions. He shall also be the liaising officer between the Council and the Chancellor.

13. The University Council shall have and exercise powers to:

(a) Formulate, after consultation with the Management Board, rules and regulations for the proper governance of the University;

(b) Develop the University and ensure that the quality and integrity of academic programs and professional courses of the University are maintained;

(c) Approve the establishment of constituent campuses and colleges to offer training and courses of instruction consistent with the mission and objectives of the University;

(d) Approve the annual budget of the University;

(e) Authorise the use of income and expenditure of funds outside the approved annual budget;

(f) Approve, upon recommendations by the Management Board, terms and conditions of service for employees of the University;

(g) Authorise the purchase, lease or hire or otherwise acquisition and holding of any land, buildings, easements or inheritances of any tenure and any other freehold or leasehold property and construction or provision of any buildings, works, stores, plant and things which may from time to time be deemed requisite for any of the purposes of the University;

(h) Approve, upon recommendation of the Management Board, major maintenance works, repairs and alterations of any buildings, works, stores, plant and things which may from time to time be deemed requisite for any of the purposes of the University;

(i) Receive and accept, on behalf of the University, donations, endorsements, and gifts of money, land, inheritances, stocks, shares, securities and any other asset whatsoever and either subject to or not any special trusts or conditions and in particular accept and take by way of gift and upon any terms an asset of any organization whether incorporated or not;

(j) Borrow or raise money with or without security for any of the purposes of the University, after consultation with the Management Board;

(k) Undertake, execute and perform any trusts or conditions affecting any freehold or leasehold property of any description acquired by the University;

30 (l) Authorise the payment or application of monies or assets of the University for the purposes which, in the opinion of the Council, may promote all or any of the objectives of the University, or the payment or transfer of such money or assets to some other person;

(m) Authorise the investment of any money of the University awaiting investment;

(n) Perform any other function as may be prescribed by the Statutes.

14. The University Council in consultation with the Chancellor shall have power to appoint or remove from office, members of the University Management Board, and other committees or bodies established under the University Council's direct authority.

15. The University Council shall abide by the Memorandum of Understanding between Opus Dei and Strathmore Educational Trust in its governance of the University and in the promotion of the University’s foundational aims.

16. The University Council may, by statutes, establish such committees as are necessary for the efficient discharge of the academic and other functions of the University.

17. Subject to the Charter, the Statutes and any regulations made in pursuance thereof, the University Council shall, in addition to all other powers vested in it, have and exercise powers to:

(a) Make, amend or revoke the Statutes, provided that the decision to do so has been approved by a two-thirds majority of the members present and voting, and that no Statute shall be made without the Management Board having had an opportunity of reporting thereon to the University Council;

(b) Make regulations for any matters in respect of which regulations are authorized by the Charter or Statutes to be made, provided that no regulation shall be made without the Management Board having an opportunity of reporting thereon to the University Council;

(c) Ratify regulations submitted by the Management Board for any matters in respect of which regulations are authorized by the Charter or Statutes to be made;

(d) Act as the highest instance of appeal of decisions made by the Management Board;

(e) Provide by way of statutes and on the recommendations of the Academic Council and the Management Board, the creation of new divisions, centres, departments, faculties, schools, institutes, constituent colleges, campuses or other bodies of learning and research in the University, whether formed by the sub-division of any one or more of any such new bodies or otherwise, and for the abolition from time to time of any such bodies, and to approve the

31 establishment, abolition or sub-division of any such bodies however so described;

(f) Determine, after considering the recommendations of the Academic Council and the Management Board, all fees payable to the University;

(g) Institute, on the recommendation of the Academic Council and the Management Board, fellowships, scholarships, studentships, bursaries, prizes and other awards for study and research;

(h) Approve or disapprove names of persons proposed by the Academic Council for conferment of honorary degrees and higher doctorates, provided that the University shall admit no person to an honorary degree or higher doctorate unless the University Council and the Academic Council have concurrently approved the name of such a candidate for the conferment of the aforementioned degree. Prior to the conferment of honorary doctorates the University Council shall also seek the opinion and approval of the Chancellor;

(i) Exercise all such powers as are or may be conferred on the University Council by the Charter, Statutes and Regulations and to carry the Charter, Statutes and Regulations into effect and to do such things as are not repugnant to the Charter, Statutes and Regulations.

18. Meetings of the University Council shall be held at least once every quarter in a calendar year at such a place and time as the Chairperson of the University Council may determine.

19. There shall be a Legal &Governance Services Office. This Office shall be responsible for coordinating matters relating to governance and legal compliance in the University as a whole.

20. In the fulfilment of its duties, the Legal & Governance Service Office shall:

(a) Serve and assist the University Council, the Management Board and Council committees in the fulfilment and coordination of their respective functions and duties;

(b) Maintain the University’s statutes and regulations and other policy documents.

21. The Legal & Governing Service Office shall be headed by the Legal & Governing Services Director, who shall be present with no voting rights at the meetings of the University Council. He or she shall report to the Vice Chancellor.

32 22. Subject to the Charter and the Statutes, the University Council shall regulate its own affairs and the conduct of its meetings and those of its committees. However, the following provisions shall usually be observed during meetings of the Council:

(a) At all meetings of the University Council, a quorum shall be the nearest whole number above half the membership of the Council.

(b) Decisions of the University Council shall be by a simple majority vote of those present and voting, provided that the Chairperson of the Council shall have a casting vote in case of an equality of votes and provided also that in the enactment of Statutes, the provision of Section 35 (2) of the Charter shall apply.

(c) In order to guarantee that the property and foundational aims and objectives of Strathmore University are duly protected, any two members of the University Council may, within fifteen days of a decision, appeal to the Trustees for its revision, amendment or waiver. The decision shall stand suspended until a final decision is reached by the appeal body..

(d) The Chairperson may at any time call a meeting of the University Council after giving a two-week notice to all its members. The Chairperson shall be required to call a meeting within twenty-eight days of receiving a request for that purpose addressed to him and signed by at least a third of the membership of the Council.

(e) The Chairperson, or in his absence, the Vice-Chairperson, shall preside at all meetings of the University Council. In the absence of the Chairperson and the Vice-Chairperson, the members present and forming a quorum shall elect one person from among them to chair the meeting.

(f) The University Council shall cause minutes of its proceedings to be kept by the officer designated for that purpose and such minutes shall be confirmed and signed, subject to any necessary amendments.

(g) The University Council may, subject to such limitations as it may deem fit, delegate any of its powers or duties to the Chairperson or to committees consisting of such members of the University Council and other persons as it may determine. The University Council shall not delegate to the Chairperson or a committee, the power to approve without further reference to the University Council, the annual estimates of revenue and expenditure and audited accounts.

(h) In order to facilitate the smooth running of its affairs, the University Council may establish such committees with the membership and with such terms of reference as it may deem fit. The terms of reference for the University Council Committees, as currently established, are contained in Statute XXIII.

33 STATUTE XVII: MANAGEMENT BOARD

1. The Management Board (MB) shall be constituted according to section 15 of the Charter.

2. The Management Board shall consist of the Vice Chancellor, the University Secretary, the Deputy Vice Chancellors, the Executive Director of Finance, and a number of senior officers of the University appointed by the University Council to sit in the Board, provided that the number of members shall not be less than seven or exceed nine.

3. The Vice Chancellor shall be the Chairperson of the Management Board. The University Secretary shall be the Secretary to the Board and will be responsible for preparing the agenda for Board meetings in consultation with the Vice Chancellor. The University Secretary will also be responsible for following up the implementation of action plans arising from the decisions of the MB.

4. The Director of Legal & Governance Services shall attend meetings of the Management Board but shall have no voting rights at such meetings. The Management Board may from time to time co-opt other persons for specified purposes to serve for a specified duration of time. Such co-opted persons shall have no voting rights at meetings of the Management Board.

5. The Head of Student Mentoring Services shall be invited by the Management Board once every month to present a report on the performance of the mentoring service and shall have no vote at such meetings.

6. The Chairperson of the Management Board may invite other officers of the University to attend Management Board meetings when specific matters pertaining to their departments or offices are being discussed. Such officers in attendance shall not be eligible to vote.

7. There shall be an Executive Committee of the Management Board comprising of the Vice Chancellor, the University Secretary, and the Executive Director of Finance, with a proviso to consult any of the members of the MB when the matter concerns their Office. This Executive Committee shall have responsibility to deal with operational management and financial decisions requiring Management Board’s action on a day to day basis.

8. The MB shall have and exercise the following powers:

(a) Oversee the day to day running of the University;

(b) Coordinate and control the development, planning, management and administration of the University and its resources in accordance with approved policies, rules and regulations;

34 (c) Propose to the University Council rules and regulations for the administration of the University and for the execution of its programs and plans;

(d) Prepare master and strategic development plans and formulate development priorities, and submit proposals to the University Council;

(e) Formulate and monitor the effectiveness of the University’s financial regulations and submit proposals to the University Council;

(f) Formulate, and monitor the effectiveness of, the University’s financial strategy and submit proposals to the University Council;

(g) Monitor the effectiveness of the University’s financial management and financial control systems and make quarterly reports to the University Council;

(h) Prepare five-year rolling budgets for all aspects of the academic services and other activities of the University and submit proposals to the University Council;

(i) Submit proposals to the University Council on annual budgets in the light of the overall plan, the annual operating budgets from the academic units and other cost centres;

(j) Formulate, and monitor the effectiveness of strategies and procedures for risk management in all processes and operations in the University and, submit proposals to the University Council;

(k) Submit annual financial statements to the University Council for review;

(l) Formulate the University’s investment policy and submit proposals to the University Council;

(m) Submit proposals to the University Council concerning strategic plans, annual budgets, development priorities, staff development plans, academic programs, research programs, terms and conditions of service, fund-raising strategies, student welfare, public relations policies, academic partnerships and linkages with other universities, collaborations with industry, as well as any policies and any matters related to the development, management and administration of the University;

(n) Enter into, vary, carry out or cancel contracts on behalf of the University Council, including contracts of employment with academic or administrative Staff of the University;

(o) Review methods of instruction and teaching, promote research within the University in coordination with the Academic Council and require reports on such research to be made from time to time;

35 (p) Authorize the initiation of legal proceedings or defend or compromise legal proceedings in the name of and on behalf of the University Council.

9. The Management Board shall have the power to appoint or dismiss academic and administrative staff, except those whose appointment is reserved for the University Council. The Management Board shall report to the University Council all such appointments or dismissals.

10. Decisions of the Management Board shall be reached by a simple majority vote of those present and voting, provided that the Chairperson of the Board shall have a casting vote in case of an equality of votes.

11. The Management Board shall meet at least once every week, provided that the Vice- Chancellor may at any time call a meeting of the Management Board.

12. The Vice-Chancellor, or in his absence, the University Secretary, shall preside at meetings of the Management Board. In the event of incapacity or long absence from the University of the Vice-Chancellor, the acting Vice-Chancellor appointed in accordance with the terms and conditions described in Schedule II of these Statutes shall preside at meetings of the Management Board.

13. The Management Board may delegate any of its powers to the Vice Chancellor or to a committee consisting of members of the Management Board and other persons.

14. The Vice Chancellor shall be an ex-officio member of every committee of the Management Board, but shall not be the Chairperson of any such committees unless expressly provided for by the Charter or these Statutes.

15. Subject to the Charter and these Statutes, the Management Board shall have powers to regulate procedures of its own meetings and those of any of its committees.

16. The Management Board shall exercise any other powers and duties as may be assigned or delegated to it by the University Council in as much as such powers and duties do not infringe or contradict the powers and duties of the Academic Council.

STATUTE XVIII: THE ACADEMIC COUNCIL

1. The Academic Council (AC) shall be constituted according to section 16 of the Charter, and it shall be responsible to the University Council and the Management Board for all matters concerned with the academic functions and standards of the University.

2. Members of the Academic Council shall be as follows:

(a) The Vice-Chancellor (b) The Deputy Vice Chancellors

36 (c) The University Secretary (d) The Registrar (e) The Deans of Faculties, Schools or Institutes (f) The Dean for Research (g) The University Librarian (h) The Dean of Students (i) The Director of Strategy & Quality Assurance (j) Chairperson of Curriculum Committee (k) Chairperson of Student Affairs Committee

3. Although heads of teaching departments are not members of the Academic Council, when the Academic Council deliberates specific issues pertaining to a particular department, the head of that department may be invited to attend the meeting.

4. The Vice Chancellor shall be the Chairperson of the Academic Council, and the Deputy Vice Chancellor for Academic& Student Affairs shall be the Secretary to the Academic Council, and will be responsible for following up the implementation of action plans arising from decisions of the AC.

5. The Registrar will be responsible for preparing the agenda for Academic Council meetings in consultation with the Vice Chancellor and the Deputy Vice Chancellor for Academic & Student Affairs, for convening the AC meetings and for providing administrative support to the AC.

6. The Academic Council shall have power to:

(a) Oversee and regulate the academic standards and content of any course of study in respect of any degree, diploma or certificate or other award of the University and make quarterly reports to the Management Board and the University Council;

(b) Make regulations regarding the eligibility of persons for admission to a course of study in the University and submit proposals to the University Council, through the Management Board , for approval;

(c) Make regulations regarding the standards of proficiency to be attained in each examination for any degree, diploma or certificate or other award of the University and submit proposals to the University Council, through the Management Board, for approval;

(d) Decide which persons have attained such standards of proficiency and are therefore fit to be granted a degree, diploma or certificate or other award of the University;

(e) Oversee the application of all University regulations and policies related to admission of students, learning and teaching, examinations and progression of

37 students, graduation, recruitment and performance management of academic staff, and research management;

(f) Monitor the quality of learning and teaching in all academic programs, and the quality of research; and continuously review and evaluate the quality of academic processes and performance;

(g) Approve the academic calendar and all teaching and examination schedules of the University;

(h) Oversee, monitor and continuously review the use of all physical facilities and equipment intended for academic purposes, as well as learning and teaching resources, of the University;

(i) Oversee the application of all rules and regulations governing the welfare, conduct and discipline of students;

(j) Make regulations governing such other matters as are within its powers in accordance with the Charter or these Statutes;

(k) Perform all such other acts as are or may be deemed incidental to the exercise of all or any of its powers mentioned above.

7. Subject to the Charter and these Statutes, the Academic Council shall, in addition to all other powers vested in it, have the following powers and duties:

(a) To recommend to the University Council, through the Management Board, the establishment, abolition or harmonization of constituent colleges, faculties, schools, institutes, departments, divisions and centres as the Academic Council may from time to time deem necessary;

(b) To recommend to the University Council through the Management Board, the establishment or abolition of academic programs and titles of certificates, diplomas, degrees and other awards of the University;

(c) To approve all syllabi and curricula of the University and report to the Management Board and the University Council;

(d) To propose to the University Council, through the Management Board, regulations governing methods of assessing and examining the academic performance of students;

(e) To review academic records for both undergraduate and postgraduate candidates for the purpose of admission into the University;

(f) To regulate the conduct of examinations;

38 (g) To appoint internal and external examiners and recommend to the Management Board the terms and conditions for their appointment;

(h) To approve all examination results;

(i) To approve the award of degrees, diplomas and certificates, including the award of honorary degrees, higher doctorates and other academic distinctions, and report to the Management Board and University Council;

(j) To determine which qualifications or credits from other Universities or institutions shall be acceptable as equivalent to particular qualifications of Strathmore University;

(k) To determine the procedure to be followed in the conferment of degrees and other awards;

(l) To determine the design of academic and graduation gowns and prescribe their use;

(m) To review teaching, research and staffing within any section of the University and make recommendations thereon to the University Council, through the Management Board;

(n) To promote collaboration and linkages, with other institutions of higher learning and, with industry;

(o) To make regulations governing the award of fellowships, scholarships, bursaries, prizes and other awards, and submit recommendations to the Management Board and the University Council for approval;

(p) To promote the professional and academic welfare of students and academic staff of the University;

(q) To propose regulations and procedures for the conduct and discipline of students and make recommendations thereof to the University Council through the Management Board;

(r) To receive records and reports of proceedings of various academic boards of constituent colleges, faculties, schools, institutes and centres; consider any recommendations thereof, and make appropriate decisions;

(s) To recommend to the University Council, through the Management Board, appropriate criteria for appointment and promotion of academic staff of the University;

(t) To determine general policy matters relating to the library, laboratory facilities, teaching technologies, workshops and such other services that are in its view

39 necessary for the furtherance of the educational aims of the University and report to the Management Board and the University Council;

(u) The Academic Council shall exercise such other powers as may be conferred on it by the Charter, the Statutes or other regulations, and to do such other acts as the University Council shall authorize;

(v) The Academic Council may, subject to the Charter, these Statutes and other regulations, establish committees consisting of such members of Academic Council or any other persons as it may deem fit and may delegate any of its powers or duties to its Chairperson or to any of its committees;

(w) The Academic Council may, for good cause, withdraw from persons any degrees or other distinctions or titles conferred on them, and revoke any diplomas or certificates granted to them by the University and withdraw all privileges connected therewith;

8. Meetings of the Academic Council shall be held at least once every two months at such time and place as the Chairperson of the Academic Council may determine. All members of the Academic Council are required to attend all scheduled meetings unless explicitly exempted by the Vice Chancellor;

9. The Vice-Chancellor, or in his absence, the Deputy Vice Chancellor for Academic & Student Affairs, shall preside at meetings of the Academic Council. In the event of incapacity or long absence from the University of the Vice-Chancellor, the acting Vice- Chancellor appointed in accordance with the terms and conditions described in Schedule III of these Statutes shall preside at meetings of the Academic Council;

10. Subject to the Charter and these Statutes, the Academic Council shall regulate its own affairs, and the conduct of its own meetings. However, the following procedures shall normally be observed during meetings of the Academic Council:

(a) The Chairperson of the Academic Council may at any time call an extra-ordinary meeting of the Academic Council, and, in addition, shall call a meeting within ten days of receiving a request for that purpose addressed to him in writing and signed by not less than one third of the members of the Academic Council;

(b) The quorum for meetings of the Academic Council shall be the nearest whole number above half the membership of the Academic Council;

(c) Decisions of the Academic Council shall be arrived at by a simple majority vote of those present and eligible to vote. The Chairperson of the Academic Council shall have an original and a casting vote in case of an equality of votes;

(d) Notices and Agenda for ordinary meetings of the Academic Council shall be circulated to members at least one week before the scheduled date of the meeting;

(e) Minutes of all proceedings of the Academic Council shall be recorded and kept by the Registrar. Minutes of any meeting shall be confirmed, subject to any corrections and amendments, and signed by the Chairperson and the Secretary. Copies of the confirmed minutes of all meetings of the Academic Council shall be forwarded to Secretary of the Management Board.

11. There shall be an Executive Committee of the Academic Council comprising of the Vice Chancellor, the Deputy Vice Chancellor for Academic & Student Affairs, and the Registrar, with a proviso to consult or invite any members of the Academic Council if the matter concerns their Office. The Executive Committee may take and implement decisions on behalf of the Academic Council when necessary, and notify the Academic Council appropriately. The Chairperson of the Executive Committee shall be the Vice Chancellor and, its Secretary shall be the Registrar.

12. There shall be a Deans’ Forum comprising of Deans of Faculties, Schools and Institutes, to provide the Deans with a forum where they can consult and share experiences on matters of joint interest to their respective academic centres. The Forum will be convened and chaired by the Deputy Vice Chancellor for Academic and Student Affairs. This will not be a standing committee but will operate under the auspices of the Academic Council; its agenda will be determined by the DVC and the Deans on every occasion the forum is convened.

STATUTE XIX: FACULTIES, SCHOOLS AND INSTITUTES

1. There shall be Faculties, Schools, Institutes and such other academic units within the University as the University Council may from time to time determine in accordance with the Charter and these Statutes.

2. The Council may establish and disestablish within the University such Faculties, Schools, Institutes or other similar entities for learning, teaching and research as it may determine from time to time. The Council may determine from time to time the constitution and administrative arrangements for any such Faculties, Schools, Institutes or other similar entities.

3. A Faculty/ School/Institute shall have the following functions in accordance with prescribed policies of the University:

(a) Encourage and facilitate scholarship and research in the disciplines related to the Faculty, School or Institute and, where appropriate, elsewhere in the University;

(b) Provide teaching, and other services with respect to the courses offered in the Faculty, School or Institute and where appropriate to other courses offered elsewhere in the University;

(d) Foster student participation in the work of the Faculty, School or Institute; and

(e) Contribute to the Strategic Plan and objectives of the University.

4. Discipline areas within Faculties, Schools or Institutes will be subject to approval by the Academic Council.

5. A Faculty, School or an Institute shall consist of such members of the academic and administrative staff as are appointed or assigned to it by the Management Board. A member of the academic staff in a Faculty, School or an Institute is responsible, in the general performance of duties, to the Dean of the Faculty, School, or Institute, and shall, subject to any contract between that member and the University, the University Workload model, and the skills, knowledge and experience of the staff member:

(a) Perform such research and research training work; and (b) As determined by the Dean:

i) Perform teaching work; ii) Conduct examinations and other assessment work; and iii) Perform related administrative and student mentoring work.

6. Each Faculty, School or Institute teaching undergraduate or postgraduate courses shall be governed by a Faculty/School/Institute Board formed in accordance with clause 17(1) of the Charter. The Dean of the Faculty, School or Institute shall chair the Faculty/School/Institute Board. The Faculty/School/Institute Manager shall be the Secretary to the Board and will be responsible for preparing the agenda for all Board meetings in consultation with the Dean and for providing administrative support to the Board.

7. The membership of the Faculty Board shall be:

(a) Dean of the Faculty, School or Institute;

(b) All professors and associate professors on full-time or proportional contracts, associate deans, heads of academic centres/departments, academic program directors, subject leaders, in that Faculty, School or Institute;

(c) Academic staff who hold responsibilities for quality assurance, teaching and learning, curriculum development, examinations, graduate studies, research, student internships, students affairs, student mentoring, etc;

(d) The Faculty Manager.

42 8. Each Faculty/School/Institute Board shall constitute itself into a Faculty/School/Institute Board of Examiners whenever so required and shall meet to discuss and process examination results. The Faculty/School/Institute Board of Examiners shall comprise of all members of the Faculty/School/Institute Board and all internal examiners who taught and examined courses in the School as well as external examiners who are able to attend.

9. The Vice-Chancellor and the Deputy Vice-Chancellor for Academics & Student Affairs shall be ex-officio members of all Faculty Boards.

10. A Faculty/School/Institute Board may, at its own discretion, invite other persons to attend its meetings in an advisory capacity; provided that persons so invited shall not acquire rights of membership to the Board and shall have no voting rights.

11. Meetings of the Faculty/School/Institute Board shall be held at least once every month at such time and place as the Dean as Chairperson of the Board may determine. All members of the Faculty/School/Institute Board are required to attend all scheduled meetings of the Board unless explicitly exempted by the Dean.

12. The quorum for meetings of the Faculty Board shall be the nearest whole number above half the membership of the Board.

13. Decisions of the Faculty/School/Institute Board shall be arrived at by a simple majority of those present and eligible to vote. The Chairperson shall have an original and a casting vote in case of an equality of votes.

14. Notices and Agenda for ordinary meetings of the Faculty/School/Institute Board shall be circulated to members at least one week before the scheduled date of the meeting.

15. Minutes of all proceedings of the Faculty/School/Institute Board shall be recorded and kept by the Secretary to the Board. Minutes of any meeting shall be confirmed, subject to any corrections and amendments, and signed by the Chairperson and the Secretary. Copies of the confirmed minutes of all meetings of the Faculty/School/Institute Board shall be forwarded to the Vice Chancellor, the University Secretary, the Deputy Vice Chancellor for Academic & Student Affairs, and the Registrar.

16. A Faculty/School/Institute Board shall have the following responsibilities:

(a) To consider and make recommendations to the Academic Council upon all matters relating to admission of students, development and review of curricula, course scheduling, learning and teaching, examinations and student progression, academic planning, student mentoring, student attachment and internship, academic quality assurance, performance management of academic staff, research in the subject disciplines of the faculty, institute or school, and academic partnerships and collaboration with other universities and industry;

43 (b) Setting strategic direction for the Faculty, School or Institute, and monitoring and evaluating its performance against strategic objectives;

(c) To propose to the Academic Council rules and regulations governing the admission and progression of students in the School;

(d) To receive and consider reports on admission of students who apply to the University for admission to courses in the School, subject to the admission criteria approved by the Academic Council;

(e) To regulate the conduct of all examinations (both continuous assessment and final) in subjects offered in the school and to make appropriate recommendations to the Academic Council;

(f) To recommend to the Academic Council persons for appointment as internal and external examiners in the Faculty, Institute or School;

(g) To submit to the Academic Council proposals for academic development in the School, including recommendations concerning syllabi and regulations dealing with courses of study for degrees and other awards;

(h) To deal with any matters referred to it by the Academic Council.

17. The Dean as the chairperson of the Faculty/School/Institute Board has responsibility for providing effective leadership to the Board. In playing that role the Dean is responsible for ensuring that:

(a) The Board operates efficiently, and that its members work together effectively and have confidence in the procedures laid down for the conduct of business;

(b) Board meetings take place as scheduled and that minutes of meetings accurately record decisions taken;

(c) The Board, in reaching decisions, takes proper account of relevant University policies and/or guidelines issued by the Commission for University Education and other statutory bodies;

(d) Board members may speak when they need to, and if necessary, a vote is taken and the result recorded;

(e) Copies of minutes of Board meetings are forwarded to the Vice Chancellor, the University Secretary, the Deputy Vice Chancellor for Academic & Students Affairs, and the Registrar;

(f) Action plans arising from decisions of the Board are implemented in a timely manner;

44 (g) Quarterly reports on Board performance are presented to the Academic Council in a timely manner;

(h) Self-assessment of performance of the School against strategic objectives is carried out every year and a report submitted to the Vice Chancellor and the Academic Council by the last Friday of September each year.

18. Every Faculty or School or Institute shall have a Management Committee to oversee the day to day management and administration of the Faculty, School or Institute. The members of the Committee shall comprise of Dean, associate deans, academic members of staff in charge of academic and student affairs, research, examinations, and quality assurance in the Faculty, and the Faculty Manager.

19. The Dean of the Faculty/School/Institute shall be the Chairperson of the Management Committee, whereas the Faculty/School/Institute Manager shall be the Secretary to the Management Committee and will be responsible for preparing the agenda for the Committee meetings in consultation with the Dean.

20. The Faculty/School/Institute Management Committee shall have the following responsibilities:

(a) Dealing with management and operational issues concerning budgets, space, selection and admission of students, student records, staffing, teaching and learning, class attendance, examinations, student progression and fees collection, student mentoring, student attachment, marketing of academic programs, and research activities in the school;

(b) Preparing, and presenting, proposals to the University Management Board concerning annual budgets, strategic plans and development initiatives, annual work plans, staff development plans, terms and conditions of service, as well as any policies and any matters related to the management and administration of the Faculty;

(c) Preparing, and presenting, proposals to the Academic Council concerning academic programs, research programs, learning and teaching, academic quality assurance, academic partnerships and linkages, and collaboration with industry; after approval by the Faculty Board;

(d) Ensuring effective provision and administration of academic services in the Faculty and, compliance with the University policies and regulations pertaining to learning and teaching, and quality assurance;

(e) Collaborating with the Academic Administration& Enhancement Committee to ensure effective administration of academic services in the University.

45 STATUTE XX: SCHOOL OF GRADUATE STUDIES

1. There is a School of Graduate Studies that has overall responsibility for coordinating and overseeing graduate studies and, postgraduate and postdoctoral research in the University. To carry out this mandate, the School has the responsibility for implementing policies and procedures that have been approved by the Academic Council and for enforcing any rules and regulations pertaining to graduate programs and postgraduate research.

2. The functions of the School of Graduate Studies are as follows:

(a) To co-ordinate the development and establishment of graduate study programs in line with the overall University master plan;

(b) To facilitate the admission of graduate students and ensure that minimum entry qualifications are met by all potential students;

(c) To oversee the conduct and administration of all graduate programs, including teaching, supervision, research, examinations, awarding of graduate degrees, diplomas and certificates, and the calibre of academic staff who participate in the teaching and supervision of graduate students;

(d) To prepare and enforce rules and regulations pertaining to graduate studies in so far as such rules and regulations have been approved by the Academic Council;

(e) To solicit funds in support of graduate programs in the form of scholarships and research fellowships and make the information available to the University community;

(f) To carry out any other functions pertaining to graduate studies and postgraduate research as the Academic Council may direct from time to time.

3. The School of Graduate Studies shall be headed by a Dean who shall be responsible for the administration of the School. The Dean shall be appointed upon such terms and conditions as the Management Board may determine from time to time, subject to approval by the University Council.

4. The roles and responsibilities of the Dean of the School of Graduate Studies shall include:

(a) General responsibility for all matters concerning budgets, selection and admission of graduate students, examinations, postgraduate research and quality assurance of programs;

(b) Ensuring that existing polices as well as new policies and decisions made by the University’s governing bodies such as University Council, Management Board,

46 Academic Council and their respective committees pertaining to graduate studies, are properly communicated to graduate students and graduate faculty in a timely manner;

(d) Taking responsibility for quality assurance of graduate programs and postgraduate research in the University;

(e) Providing leadership in the preparation of the School’s annual budget in liaison with Academic Schools and Research Centres in the University;

(f) Providing leadership in developing and reviewing policies, regulations and guidelines pertaining to graduate studies and postgraduate research in the University;

(g) Ensuring that graduate students enrolled in the School are helped and supported by identifying and assigning academic advisors or mentors, and supervisors; by providing guidance in preparation of research proposals, academic writing and thesis preparation and, writing proposals for research grants;

(h) Collaborating with Deans of the various Faculties, Schools and Institutes offering graduate programs; and the Director of Communications & University Relations, in the promotion and marketing of graduate programs;

(i) Coordinating the admission and enrolment of graduate students and maintaining the student records;

(j) Ensuring that an up-to-date database of graduate faculty (all lecturers qualified to teach and supervise graduate students as per University rules and regulations) is maintained;

(k) Actively monitoring the quality and effectiveness of learning and teaching in all graduate programs in the University, and submitting quarterly reports to the Academic Council;

(l) Monitoring and documenting student progression and completion rates and submitting timely reports to the Academic Council;

(m) Collaborating with the Deans of the various Faculties, Schools and Institutes offering graduate programs, and actively coordinating continuous monitoring and appraisal of the performance of graduate faculty in their teaching and supervision roles;

47 (n) Monitoring and appraising the quality of service provided to graduate students- recruitment and admission, registration, management of student records, academic coaching/mentoring, supervision, etc. and submitting quarterly reports to the Quality Assurance Office and to the Academic Council;

(o) Creating and maintaining graduate student webpage which contains all relevant information both for prospective students and continuing students;

(p) Seeking funding from external sources to support graduate studies and postgraduate research;

(q) Promoting and fostering post-doctoral research by developing and establishing a fellowship program;

(r) Preparing and proposing to the Management Board long term (five-year and ten-year) and short-term (three-year) strategic plans and one-year operating plans, after approval by the Board of Graduate Studies;

(s) Promoting a lively academic atmosphere in the University by organising seminars, talks and conferences for graduate students and early career researchers.

5. The Dean of the School of Graduate Studies shall report to the Deputy Vice Chancellor for Research, and to the Academic Council, and shall chair the Board of Graduate Studies and the School’s Management Committee. He or she shall sit on the Academic Council and on the Academic Administration& Enhancement Committee, and on the Research Committee.

6. The School of Graduate Studies shall have a School Board, which shall be called, Board of Graduate Studies and, which shall function as a committee of the Academic Council, responsible for all matters pertaining to graduate studies and postgraduate research. The Board of Graduate Studies shall be made up of the following members:

(a) The Dean, School of Graduate Studies; (b) Chairpersons of Faculty Graduate Studies Committees of the different Faculties, Schools and Institutes of the University; (c) The Head of Teaching and Research in the School (d) The School Manager.

7. The Chairperson of the Board of Graduate Studies shall be the Dean of the School of Graduate Studies. He or she will be responsible to the Vice Chancellor through the Deputy Vice Chancellor for Research and, to the Academic Council, and shall be a member of the Academic Council. The Head of Teaching and Research in the School shall be the Secretary to the Board of Graduate Studies and will be responsible for preparing the agenda for all Board meetings.

48 8. Meetings of the Board shall be held at least once every month at such time and place as the Chairperson of the Board may determine. All members of the Board are required to attend scheduled meetings of the Board unless explicitly exempted by the Chairperson. The quorum for meetings of the Board shall be the nearest whole number above half the membership of the Board of Graduate Studies. The Board may invite other persons to attend its meetings in an advisory capacity, and such persons shall be listed "in attendance" and shall have no voting rights at such meetings.

9. The Chairperson of the Board of Graduate Studies shall preside over all meetings of the Board. Decisions of the Board shall be arrived at by a simple majority of those present and eligible to vote. The Chairperson shall have an original and a casting vote in case of an equality of votes.

10. Notices and Agenda for ordinary meetings of the Board of Graduate Studies shall be circulated to members at least one week before the scheduled date of the meeting. Minutes of all proceedings of the Board shall be recorded and kept by the Secretary to the Board. Minutes of any meeting shall be confirmed, subject to any corrections and amendments, and signed by the Chairperson and the Secretary. Copies of the confirmed minutes of all meetings of the Board shall be forwarded to the Vice Chancellor, the University Secretary, the Deputy Vice Chancellor for Research, and the Registrar.

11. The Board of Graduate Studies shall have the following responsibilities:

(a) Oversee all matters relating to admission of postgraduate students, development and review of curricula, quality assurance of teaching and learning, and of academic programs, postgraduate research, quality of teaching staff, and academic partnerships and collaboration with other universities and industry;

(b) Approve the School’s annual budget and annual work plans;

(c) Recommend to the Academic Council policies, procedures and guidelines pertaining to graduate studies and postgraduate research;

(d) Set strategic direction for graduate studies and postgraduate research in the University, and monitoring the School’s performance against strategic objectives;

(e) Recommend graduate studies programs and curricula to the Academic Council for approval;

(f) Recommend to the Academic Council persons for appointment as supervisors of research students, internal and external examiners for graduate courses and for theses and dissertations;

49 (g) Receive and consider examination results that have been discussed by the Faculty Graduate Studies Committees of Academic Schools and make appropriate recommendations to the Academic Council. The Board may authorise the release of provisional examination results to the candidates by the Dean of the Academic School;

(h) Provide guidance to the Dean of the School of Graduate Studies;

(i) Deal with any matters referred to it by the Academic Council.

12. The Chairperson of the Board of Graduate Studies has responsibility for providing effective leadership to the Board. In playing that role the Chairperson is responsible for ensuring that:

(a) The Board operates efficiently and, that its members work together effectively and have confidence in the procedures laid down for the conduct of business;

(b) Board meetings take place as scheduled and that minutes of meetings accurately record decisions taken;

(c) The Board, in reaching decisions, takes proper account of relevant University policies and/or guidelines issued by the Commission for University Education and other statutory bodies;

(d) Copies of minutes of Board meetings are forwarded to the Vice Chancellor, the University Secretary, the Deputy Vice Chancellor for Research, and the Registrar;

(e) Quarterly reports on Board performance are presented to the Academic Council in a timely manner;

(f) Annual assessment of performance of the School against strategic objectives is carried out and a report submitted to the Vice Chancellor and the Academic Council by the last Friday of September each year.

13. The School shall have a Management Committee to oversee the day to day management and administration of the School. The members of the Committee shall comprise of the following Officers in the School:

(a) The Dean of the School; (b) The Head of Teaching & Research; (c) The School Manager.

14. The Dean of the School shall be the Chairperson of the School Management Committee, whereas the School Manager will be the Secretary to the Management Committee and will be responsible for preparing the agenda for Committee meetings and providing administrative support to the Committee.

15. The School Management Committee shall have the following responsibilities:

(a) Dealing with all administrative matters concerning budgets, selection and admission of graduate students, student records, examinations, student progression, postgraduate research and quality assurance of programs;

(b) Preparing, and presenting proposals to the University Management Board concerning annual budgets, strategic plans and development initiatives, annual work plans, financing of graduate studies and postgraduate research, as well as policies and matters related to the management and administration of the School; after approval by the Board of Graduate Studies;

(c) Preparing, and presenting proposals to the Academic Council concerning academic programs, research programs, academic quality assurance, academic partnerships and linkages, and collaboration with industry; after approval by the Board of Graduate Studies.

16. Each Faculty or School that runs graduate degree programs shall constitute a Faculty Graduate Studies Committee which shall be chaired by a senior member of academic staff in the Faculty or School appointed by the Dean of the Faculty or School. The Dean of the Faculty or School shall be ex-officio member of the Faculty Graduate Studies Committee.

17. The Faculty Graduate Studies Committees shall be responsible to the Board of Graduate Studies for all matters pertaining to graduate studies in the respective Faculty, School or Institute. In particular, the committee shall:

(a) Discuss and make recommendations to the Board of Graduate Studies, graduate academic programs in the respective Faculty, School or Institute;

(b) Recommend to the Board of Graduate Studies:

i) Candidates for admission to graduate studies and scholarship awards. ii) Suitability of research proposal topics. iii) Suitable supervisors, internal examiners and external examiners.

(c) Discuss examination results of graduate students enrolled in the respective Faculties, Schools or Institutes and make recommendations to the Board of Graduate Studies through the Dean of the respective Faculty, School or Institute.

18. Minimum entry requirements, processing of applications for graduate studies, conduct of studies, examination regulations for coursework and thesis as well as specific regulations for postgraduate diplomas, masters degrees and doctorate degrees are found in the rules and regulations for graduate studies in Schedule VIIIof these Statutes.

STATUTE XXI: TEACHING DEPARTMENTS

1. Each faculty, school or institute may be divided into departments or centres as the University Council may determine from time to time.

2. Each teaching department shall be regarded for administrative purposes as being a constituent part of one faculty, institute or school but may in relation to other faculties in which such a department has teaching or other commitments be regarded as being in association with such faculty, institute or school.

3. There shall be a head of each department appointed by the Management Board, from among the full-time senior academic members of staff in the department. The terms and conditions of appointment of Heads of Departments shall be determined by Management Board subject to approval by the University Council.

4. A Head of Department may resign his/her appointment by giving three months’ notice in writing to the Vice Chancellor, and the Management Board may terminate the appointment of a Head of Department by giving three months’ notice. However, if a Head of Department becomes of unsound mind or is found guilty of gross misconduct, he or she shall be removed from office by the Management Board in accordance with the established disciplinary procedures for University staff.

5. Where the Head of a department is unable, either by reason of his absence from the University or for any other reasons, to carry out his functions as Head, the Management Board may appoint an Acting Head of the Department for such period and under such terms and conditions as the MB may determine, provided that the period of appointment does not exceed the balance of the period of Office of the substantive Head.

6. Each department shall have a Departmental Board that will be responsible for all academic matters in the department. The meetings of the Departmental Board shall be chaired by the Head of Department. The membership of the Departmental Board shall be as follows:

(a) The Head of Department;

(b) All professors, associate professors on full time or proportional contracts, program directors, subject leaders, in that Department;

(d) Departmental Administrator.

52 7. The Dean of the relevant Faculty, School or Institute shall be entitled to attend Departmental Board meetings in an ex-officio capacity.

8. From time to time, the Head of the Department, after consultation with members of the Departmental Board, may invite other persons to attend meetings of the Board, but such persons shall not have voting rights.

9. Each Departmental Board shall constitute itself into a Departmental Board of Examiners whenever so required and shall meet to discuss and process examination results. The Departmental Board of Examiners shall comprise of all members of the Departmental Board and all internal examiners who taught and examined courses in the Department as well as external examiners who are able to attend.

10. Meetings of the Departmental Board shall be held at least once every month at such time and place as the Chairperson of the Board may determine. All members of the Board are required to attend all scheduled Board meetings unless explicitly exempted by the Head of Department. The quorum for meetings of the Board shall be the nearest whole number above half the membership of the Board.

11. Each Departmental Board shall maintain a proper system of agenda and minutes for all its meetings. The Head of Department shall send copies of confirmed minutes to the Vice-Chancellor, the Deputy Vice Chancellor for Academic & Student Affairs, the University Secretary, the Registrar and the Dean of the respective Faculty, School or Institute.

12. Subject to the provisions of the Charter and these Statutes, the authority of the Academic Council and such other regulations as may be made by the Academic Council and the Management Board in respect of the Faculty, School or Institute of which the department forms part, the Departmental Board shall have the following responsibilities and duties:

(a) To monitor and control the teaching and instruction of students within the department and the setting and marking of examination papers in accordance with regulations approved by the Academic Council, the general academic policy agreed upon by the respective Faculty Board and the approved administrative procedures of the University.

(b) To make recommendations to the Faculty Board for the establishment of new courses and programs and the amendment of existing regulations and syllabuses relating to studies within the department.

(c) To perform such other duties as may be referred to it by the Faculty Board, the Academic Council or the Management Board.

(d) To make recommendations to Management Board through the Dean of the respective Faculty in respect of development plans; and annual and other estimates of expenditure.

(e) To recommend candidates for staff development programs to the Academic Council through the Dean of the respective Faculty.

(f) To formulate general guidelines on research and suggest means of funding research programs in the department.

(g) To recommend to the Academic Council, through the Dean of the respective Faculty, names of possible internal and external examiners in the department.

13. The Chairperson of the Departmental Board has responsibility for providing effective leadership to the Board. In playing that leadership role the Chairperson is responsible for ensuring that:

(a) The Board operates efficiently and effectively and that its members have confidence in the procedures laid down for the conduct of business.

(b) Board meetings take place as scheduled and that minutes of meetings accurately record decisions taken.

(c) The Board, in reaching decisions, takes proper account of relevant University policies and/or guidelines issued by the Commission for University Education and other statutory bodies.

(d) Copies of minutes of Board meetings are forwarded to the Vice Chancellor, the University Secretary, the Deputy Vice Chancellor for Academic & Students Affairs, the Registrar, and the Dean of the respective Faculty, School or Institute.

(e) Quarterly reports on Board performance are presented to the Faculty Board in a timely manner.

(f) Assessment of performance of the Department against strategic objectives is carried out every year and a report submitted to the Vice Chancellor and the University Secretary in accordance with reporting procedure agreed with the Faculty, School or Institute.

14. Every Department shall have a Departmental Management Committee to oversee the day to day management and administration of the Department. The members of the Committee shall comprise of the Head of Department, the Departmental Administrator; and the Officers responsible for coordination of teaching and research, quality assurance, and examinations, in the Department.

15. The Head of Department shall be the Chairperson of the Departmental Management Committee, whereas the Departmental Administrator will be the Secretary to the Management Committee and will be responsible for preparing the agenda for Committee meetings in consultation with the Chairperson, and for providing administrative support to the Committee.

16. The Departmental Management Committee shall have the following responsibilities:

(a) Dealing with management and administrative issues concerning budgets, space, syllabus, selection and admission of students, student records, staffing, teaching and learning, class attendance, examinations, student progression and fees collection, student mentoring, student attachment, marketing of academic programs, and research activities in the Department;

(b) Preparing, and presenting, proposals concerning annual budgets, strategic plans and development initiatives, and staff development plans to the Management Board through the Dean of the respective Faculty;

(c) Preparing and presenting proposals concerning academic programs, research programs, learning and teaching, academic quality assurance, academic partnerships and linkages, and collaboration with industry to the Faculty Board; after approval by the Departmental Board;

(d) Ensuring effective provision and administration of academic services in the Department and, compliance with the University policies and regulations pertaining to learning and teaching, and quality assurance;

(e) Delegating administrative duties and responsibilities to individuals or groups of individuals within the Department;

(f) Short-listing candidates for appointment to academic and technical posts within the Department and forward such short-lists to the Dean’s office;

(g) Collaborating with the Faculty Management Committee to ensure effective administration of academic services in the entire Faculty, School, or Institute.

STATUTE XXII: LEARNING AND TEACHING SERVICES

1. The Learning and Teaching Services (LTS) shall provide advice, guidance and support to schools, faculties, institutes and to individuals on the enhancement of learning and teaching in line with the mission and educational aims of the University.

2. LTS is mandated to provide schools/faculties/institutes with the required support on teaching and learning that is both student-centred and informed by research, scholarship and professional practice.

3. LTS shall be headed by a senior scholar with adequate pedagogical experience, who shall have broad responsibility for directing and coordinating the functions of the Department. The person appointed to head LTS should hold at least a master’s degree in education or related fields, with substantial experience in the scholarship and practice of teaching.

55 4. The Management Board shall appoint the Head of LTS upon such terms and conditions as it shall determine, subject to approval by the University Council.

5. LTS shall be responsible for:

(a) Providing support and guidance to faculties and schools in relation to curriculum design, development, implementation, evaluation and review; and stewarding University policies and regulations that govern curriculum development and review;

(b) Supporting faculties and schools to ensure that their staff, regardless of the nature of their appointment, stage of career, or experience in teaching, have opportunities to enhance their knowledge, skills, and capabilities as teachers through the provision of a range of award bearing and non-award bearing professional learning opportunities;

(c) Providing advice and guidance to the University community on how technology might be effectively used to enable and support learning and teaching;

(d) Collaborating with faculties, schools and the University’s Strategy &Quality Assurance Services department to develop systematic procedures, guidelines and evaluation processes to monitor and review performance of the quality of learning and teaching, identify quality outcomes, and recommend improvement of the teaching departments and academic programs of the University, within the premises of the University’s academic quality assurance framework;

(e) Assisting faculties and schools to develop their own strategic and operational plans to ensure that their goals, strategies and desired outcomes align with the University’s Learning and Teaching Enhancement Plan;

(f) Assisting faculties and schools to prepare for annual performance reviews of the quality of learning and teaching at institutional, programme, and individual course level;

(g) Promoting and fostering an organizational culture that values, recognizes and rewards excellence and the on-going enhancement of learning and teaching at both individual and organizational unit levels;

(h) Collaborating with the University community to develop values, principles and criteria that can be used to identify, recognize and reward excellence in learning and teaching through promotion, grants, and awards;

(i) Assisting faculties and schools to develop and implement their own policies, processes and strategies to recognize and reward learning and teaching;

56 (j) Promoting and fostering the development and maintenance of learning and teaching networks and groups to support on-going enhancement of learning and teaching.

6. The Head of LTS shall report to the Registrar and will serve as the Secretary to the University’s Curriculum Committee which has an oversight role for quality enhancement in curriculum development and management, and in learning and teaching.

STATUTE XXIII: UNIVERSITY CHAPLAINCY

1. There is a University Chaplaincy that is headed by a Chaplain, who is assisted by Assistant Chaplains.

2. The Chaplaincy is responsible for the spiritual care and Christian orientation of the University.

3. The Regional Vicar of Opus Dei in Kenya appoints the University Chaplain and any Assistant Chaplains, as per Schedule III of these Statutes. The University Chaplain shall serve under such terms and conditions as the Regional Vicar may determine from time to time.

4. The University Chaplaincy shall provide its services to all campuses and colleges of the University.

STATUTE XXIV: POWERS OF DELEGATION

1. Subject to the provisions of the Charter and these Statutes, the University Council, the Management Board, the Academic Council, Faculty Boards and Departmental Boards may, subject to such conditions as they may deem fit to impose, delegate any of their powers or duties conferred or imposed under or by virtue of the Charter, and these Statutes to their respective Chairpersons or any other of their members or to anybody comprising such member or members and such other persons as they may respectively appoint.

2. Subject to the Charter and the Statutes, any such delegation shall be revocable at will and shall not preclude the respective person or body making the delegation from exercising any of its powers or duties conferred upon or imposed under or by virtue of the Charter or Statutes.

3. The University Council shall not delegate its powers to alter, amend, add to, or revoke any of the provisions of these Statutes.

4. The University Council, the Management Board, the Academic Council and Faculty Boards, respectively, may from time to time make standing orders for governing their respective proceedings, subject to the provisions of the Charter, and the Statutes.

5. Unless otherwise provided for by the Charter or by these Statutes, when any matter or question is put to a vote, it shall be determined by a simple majority of the members of the body concerned present and voting on the matter or question, and in the case of equality of votes, the Chairperson shall have a casting vote, whether or not he/she has voted before on the matter in question.

STATUTE XXV: COMMITTEES

1. The University Council, the Management Board, the Academic Council, Boards of Faculties, Institutes, Schools and Departments, and the Alumni Association may respectively appoint such and so many Standing, Special, Ad hoc or Advisory Committees and Joint Committees as they may deem fit to deal with matters within their respective jurisdiction and powers. Any such Committees or Joint Committees may from time to time include students and persons who are not members of the bodies appointing the Committees if the circumstances so require.

2. The body appointing a committee may make rules of procedure for the committee, but, subject thereto, every committee may determine its own procedure and time and place of meeting.

3. The appointment of a committee is intended to foster fast, collegial and responsible decisions and should not jeopardize management efficiency nor lessen the responsibility of the body or persons appointing such committees.

4. Unless otherwise provided for by the Charter or the Statutes, the quorum for meetings of all committees of the University Council, the Management Board, the Academic Council, Faculty Boards and Departmental Boards shall be the nearest whole number above half the total membership of any of these committees.

5. All members of standing committees the University Council, the Management, the Academic Council, Faculty Boards and Departmental Boards, are required to attend all scheduled meetings of these committees unless explicitly permitted by the Chairpersons of the respective committees to be absent.

6. The Vice-Chancellor may attend meetings of any committee in the University in an ex- officio capacity.

7. Deputy Vice-Chancellors and the University Secretary may attend meetings of committees that fall under their respective divisions in an ex-officio capacity.

58 STATUTE XXVI: COMMITTEES OF THE UNIVERSITY COUNCIL

1. In order to facilitate the smooth running of its affairs, the University Council may establish such committees with the membership and with such terms of reference as it may deem fit.

2. The following are the University Council Committees:

(a) Oversight Committee; (b) Finance Committee; (c) Audit & Compliance Committee; (d) Fundraising & External Relations Committee; (e) Human Resources Policy Committee.

3. The University Council shall nominate the Chairperson of each committee of the Council provided that in the absence of the Chairperson of any committee, the members present and constituting a quorum may elect one person from among them to chair the meeting.

4. The Chairperson of the University Council and the Vice Chancellor shall be ex-officio members of every committee of the Council.

STATUTE XXVI-A: OVERSIGHT COMMITTEE

1. The Committee shall be responsible for the following matters:

(a) Long term strategic development of the University. The Committee will receive and consider annual reports from the Management Board on the progress and implementation of the strategic plan and, will carry out annual review of performance of the University regarding attainment of the strategic goals, and report to the Council;

(b) Monitoring and reviewing policies related to management strategies including efficient planning, decision making processes and models for continuous improvement; and reporting to the Council;

(c) Monitoring the University’s governance arrangements, for policies relating to reporting and disclosing information about the University and, for general supervision of University policies, statutes and regulations; and reporting to the Council;

(d) Receiving and considering proposals from the Academic Council through the Management Board on policies , strategies and regulations governing recruitment and admission of students; development of new academic programs; academic staff development; learning and teaching; academic quality assurance; scholarships and bursaries; student mentoring, student discipline, Student Council;

59 research management, innovation, and intellectual property; honorary degrees and higher doctorates;

(e) Monitoring and reviewing academic processes and related academic resources with a view to assuring and safeguarding the University’s mission and vision, educational philosophy, educational aims, policies and standards, in respect of quality of students, access and equity, curriculum design, student support, academic resources (lecturers, learning and information resources, ICT resources), research and innovation and, the enhancement of good practice in higher education;

(f) The Committee will meet quarterly and submit its reports to the University Council.

2. Members of the Committee shall be

(a) Two members of the Council, one of whom shall chair the Committee; (b) The Vice Chancellor; (c) The University Secretary; (d) Deputy Vice Chancellor-Academic & Student Affairs; (e) Deputy Vice Chancellor for Research; (f) One person appointed by the Council from industry or higher education sector.

STATUTE XXVI-B: FINANCE COMMITTEE

1. The Finance Committee shall have the following responsibilities:

(a) Overseeing the preparation and annual review of five-year rolling budgets for all aspects of the academic services and other activities of the University and reporting to the Council;

(b) Making recommendations to the Council on annual budgets in the light of the overall plan, the annual operating budgets from the academic units and other cost centres, and other relevant information;

(c) Giving advice to the Council on the needs of the University as established by its plans, and in order that the Council can take these views into account when establishing investment policy;

(d) Reviewing the University’s financial strategy for approval by the Council;

(e) Dealing with strategic issues concerning financial risk management and advising the Council appropriately;

(f) Reviewing the University’s annual financial statements and reporting to the Council;

60 (g) Receiving and considering annual external audit reports submitted by External Auditors and, making recommendations to the Council;

(h) Reviewing the University’s financial regulations from time to time and recommending any necessary changes in those regulations to the Council;

(i) Reviewing University’s investment policy from to time and reporting to the Council;

(j) Overseeing the University’s financial management and financial control systems and making quarterly reports to the Council;

(k) Such other actions on behalf of the University Council in relation to the University’s financial business as may be required from time to time;

(l) The Committee shall meet quarterly and submit its reports to the University Council.

2. The Membership of the Committee shall be as follows:

(a) Two members of the Council one of whom shall chair the Committee; (b) The Vice Chancellor; (c) The University Secretary; (d) The Executive Director of Finance; (e) One person with experience in financial management appointed by the Council from business and industry.

STATUTE XXVI-C: AUDIT & COMPLIANCE COMMITTEE

1. The Audit and Compliance Committee shall have the following responsibilities:

(a) Providing leadership and advising Council on strategic issues related to risk management, quality assurance, and compliance with benchmark standards and statutory regulations;

(b) Reviewing and monitoring the effectiveness of the University’s risk management policies and strategies in mitigating against identified potential risks and in improving management and control;

(c) Receiving and considering proposals from the Chief Internal Audit & Compliance Officer on the internal audit and compliance work plans, and making recommendations to Council for approval;

(d) Receiving and considering quarterly internal audit and compliance reports submitted by the Chief Internal Audit & Compliance Officer and, making recommendations to the Council;

(e) Receiving and reviewing quarterly reports on the progress of the implementation of recommendations in the action plans contained in both the internal audit and compliance reports, and the external audit reports;

(f) Reviewing and monitoring the effectiveness of the University’s quality assurance policies, strategies, and procedures in enhancing quality of academic and auxiliary processes in the University;

(g) Receiving and considering proposals on quality review cycle and internal quality assessment plans from the Management Board and making recommendations to Council for approval;

(h) Receiving and considering annual quality assurance reports submitted by the Management Board and making recommendations to the Council;

(i) Receiving and reviewing quarterly reports on the progress of the implementation of recommendations in the action plans contained in annual quality assessment reports;

(j) The Committee shall meet quarterly and submit its reports to the University Council.

2. The members of the Committee shall be:

(a) Two members of Council, one of whom shall chair the Committee; (b) The Vice Chancellor; (c) The University Secretary; (d) The Chief Internal Audit & Compliance Officer; (e) One person with suitable experience appointed by the Council.

STATUTE XXVI-D: FUNDRAISING &EXTERNAL RELATIONS COMMITTTEE

1. The Committee shall be responsible for the following:

(a) Reviewing and monitoring the effectiveness of the University’s fundraising strategies and policies and making recommendations to the Council;

(b) Receiving and considering proposals from the Management Board on policies, strategies and regulations governing the planning, execution and management of fundraising initiatives in the University, and making recommendations to the Council;

(c) Providing leadership and strategic guidance in the identification of individual donors and organisations for purposes of soliciting development funds;

62 (d) Reviewing on a quarterly and annual basis the performance of the University against the fundraising goals and targets, and making reports to the Council;

(e) Providing leadership and strategic guidance in engaging the external stakeholders including the University’s alumni and, industry and business partners, in fundraising initiatives of the University;

(f) Monitoring and reviewing the University’s communications policies and strategies in connection with managing its relationships with external stakeholders, enhancing the corporate image of the University, and attaining distinguished positioning in the higher education market place both locally and internationally;

(g) Reviewing and monitoring the effectiveness of the University’s community engagement policies and strategies, and the effectiveness of the Community Outreach Program (COP) as the University’s social responsibility initiative; and providing strategic guidance and support on how to leverage COP for fundraising.

2. The Committee will meet quarterly and submit reports to Council.

3. The members of the Committee shall be:

(a) Two members of the Council one of whom shall chair the Committee; (b) The Vice-Chancellor; (c) The University Secretary; (d) The Deputy Vice Chancellor-Research; (e) The Executive Director-Advancement & Alumni Relations; (f) Director of Communications & University Relations; (g) One person with experience and special interest in fundraising appointed by the Council.

STATUTE XXVI-E: HUMAN RESOURCEPOLICY COMMITTEE

1. The Committee shall oversee the formulation and subsequent monitoring and review of policies and strategies on employment of all University staff, including policies on recruitment and selection, staff development and training, performance management schemes and salaries and other conditions of service.

2. The Committee shall be responsible for the following matters:

(a) Reviewing and monitoring the implementation and effectiveness of the University’s employment policies through regular reports provided by the Management Board;

(b) Overseeing the relations between the University and its employees;

63 (c) Reviewing and making recommendations to the University Council, the salaries and other terms and conditions of service of the Vice Chancellor, the Deputy Vice Chancellors, the University Secretary, and such other senior officers of the University as the Council may from time to time determine;

(d) Monitoring key performance indicators as agreed by the Council;

(e) Receiving and considering proposals on strategy and policy in all matters relating to the recruitment, reward, retention, motivation and development of the University’s staff, and making recommendations to the University Council;

(f) Receiving reports from the Management Board relating to promotion, re-grading, the award of additional salary increments and contribution payments to salaried staff;

(g) Receiving reports from the Management Board of all honorary titles and personal titles awarded;

(h) Receiving and considering reports, at least annually, from the Management Board concerning the terms and conditions of service of employees of the University, and making recommendations to the University Council.

3. The Committee shall consist of:

(a) The Chairperson of the Council; (b) The Chairperson of the Finance Committee; (c) The Vice Chancellor; (d) The University Secretary; (e) Executive Director-Human Resources; (f) One person with suitable experience appointed by the Council.

4. The Committee will meet quarterly and submit its reports to the University Council.

STATUTE XXVII: COMMITTEES OF THE MANAGEMENT BOARD

1. The Management Board may constitute standing and ad hoc committees from time to time.

2. The following are the standing committees of the Management Board:

(a) University Services Committee; (b) Academic Administration& Enhancement Committee; (c) Quality Assurance Steering Committee; (d) Staff Appointment Committees; (e) Human Resources Committee; (f) Budget Advisory Committee;

64 (g) Investment Committee; (h) ICT Services & Strategy Committee; (i) Procurement Committee.

STATUTE XXVII-A: UNIVERSITY SERVICES COMMITTEE

1. The University Services Committee shall be responsible for:

(a) Overseeing the running and operations of the University services covering administrative services (security, transport, parking, facilities, stores, venues and events, environmental health and safely), catering services, cleaning services, health services and accommodation services; in accordance with University policies, strategies and quality assurance system;

(b) Reviewing, on a monthly basis, the performance of the functional sections falling under the University Services department, against the strategic goals and targets, and making reports to the Management Board;

(c) Conducting annual comprehensive customer satisfaction surveys, analysing the results and submitting the reports to the Management Board;

(d) Promoting the use of service level contracts to enhance the quality of services provided by the University to its diverse constituencies:

(e) Reviewing and monitoring the effectiveness of the policies, strategies and regulations that govern the provision of services in the University and, making recommendations to the Management Board.

2. The Committee shall meet at least once every week and submit its reports to the Management Board on matters concerning policy, strategy and performance on a monthly basis. The meetings of the Committee shall be chaired by the Executive Director of University Services; the Secretary to the Committee shall be the Director of Administrative Services. The Chairperson may invite other Heads of departments to meetings of the Committee whenever there is need to do so. Persons invited in this manner will have no voting rights at meetings of the Committee. The Office of the Director for Administrative Services shall provide administrative support to the Committee.

3. The members of the Committee shall be:

(a) The Executive Director of University Services; (b) The Director of Administrative Services; (c) The Director of Health Services; (d) The Manager of Catering Services; (e) The Manager of Cleaning services.

65 STATUTE XXVII-B: ACADEMIC ADMINISTRATION& ENHANCEMENT COMMITTEE

1. The purpose of the Academic Administration & Enhancement Committee (AAEC) is to advise the Academic Council and the Management Board on strategy and policy in relation to learning, teaching, and assessment, in connection with all award and credit bearing programs of the University.

2. The Committee shall be responsible for coordinating most aspects of academic administration, including planning and resources, administrative support for the student career from admission to graduation, and centrally managed student services such as mentoring and student career development.

3. The membership of the Committee shall be composed of all the Deans of Faculties, Schools and Institutes, and Heads of departments providing academic support services.

4. The Deputy Vice Chancellor for Academic & Student Affairs shall chair meetings of the AAEC; and the Registrar will be the Secretary to the Committee. The Registrar will be responsible for preparing the agenda for meetings of the Committee in consultation with the Deputy Vice Chancellor for Academic & Student Affairs, and for convening the meetings. The Office of the Registrar shall provide administrative support to the Committee.

5. The Registrar will be responsible for monitoring and following up of the implementation of action plans resulting from the decisions of the Committee to ensure completion.

6. The Committee shall oversee the following areas of activity, in relation to academic policy and strategy, on behalf of Academic Council and to advise and make recommendations to Academic Council and the Management Board on:

(a) The development of the University's Learning and Teaching Strategy for incorporation within the University's Strategic Plan and Annual Budget;

(b) The implementation of strategy and the development of policy in relation to learning, teaching and assessment;

(c) Revisions to general regulations, codes of practice and all University regulatory arrangements associated with learning, teaching and assessment;

(d) The promotion, implementation and evaluation of the University’s learning, teaching and assessment strategy;

(e) The development and promotion of strategically-led enhancement initiatives, activities and institution-wide changes designed to enhance students’ learning experience;

66 (f) The dissemination, promotion and evaluation of good practice identified internally and externally in relation to learning, teaching and assessment;

(g) The promotion, implementation and evaluation of the University’s quality assurance system in collaboration with the Strategy & Quality Assurance Office;

(h) Production and monitoring of key performance indicators of the quality of the student experience and determining any necessary interventions;

(i) Planning, development, implementation and evaluation of effective organizational, physical and technological infrastructures for learning and teaching;

(j) Development of rolling 5-year learning and teaching enhancement plan for the whole University in accordance with the University’s strategic priorities for development of curriculum, teaching, learning, assessment and infrastructure for learning and teaching.

7. The Committee shall also be responsible for coordinating the administration of academic and student services, and to report and make recommendations to the Academic Council and Management Board in a timely manner. In playing this role the Committee shall:

(a) Ensure that academic policies and regulations are duly promulgated and, consistently applied and complied with by all schools and support service departments in all critical academic activities including: teaching plans and course scheduling; course management and delivery of curricula; admission and enrolment of students; course requirements; class scheduling and timetabling, class sizes and room allocation; quality assurance in teaching and learning; management of student progression and completion rates; academic staff management; administration and management of examinations; student discipline and grievances; setting of tuition fees; and students’ record management; student debt management; management of class attendance; student attachment and internship;

(b) Review and evaluate the performance of individual schools on the basis of effective application and compliance with policies, rules and regulations in the management of the critical activities enumerated in 7(a) above. The Committee shall develop an instrument for assessing and rating performance. This assessment should be done every semester, the results analysed and a report submitted to the Management Board;

(c) Monitor and review efficiency and effectiveness in the provision of services in the areas of course information, student recruitment and admissions, new semester registrations, preparation of the University calendar, academic timetabling and course scheduling, learning and teaching services, library services, ICT services, student mentoring services, student career development services, certification of enrolment and degrees awarded, administration of

67 examinations, processing graduation list and conduct of graduation ceremonies, and protection and release of academic transcripts and degree or diploma certificates. Quarterly reports should be submitted to the Management Board covering a review of performance in these areas by the respective support departments;

(d) Ensure that the Academic Management System (AMS) is widely used by academic departments in the management of student records and processing and publishing of examination results;

(e) Recommend to the Academic Council for approval all academic calendars, schedules and timetables;

(f) Conduct a comprehensive customer satisfaction survey annually, and submit a report on the findings to the Management Board.

8. The Committee will:

(a) Receive and consider reports and recommendations from Faculty Boards related to learning, teaching and assessment and supporting students’ learning;

(b) Liaise with the Research Committee on matters of joint interest;

9. The members of the Committee shall be:

(a) The Deputy Vice Chancellor for Academic& Student Affairs; (b) The Registrar; (c) The Deans of Faculties, Schools and Institutes; (d) The University Librarian; (e) The Director of Learning &Teaching Services; (f) The Director of Admissions Services; (g) Dean of Students; (h) Director of Strategy &Quality Assurance.

In Attendance (as required):

(a) The Executive Director of Finance (b) The Director of ICT Services

10. The Committee shall meet at least once every month and it shall submit quarterly reports to the Academic Council and the Management Board.

STATUTE XXVII-C: QUALITY ASSURANCE STEERING COMMITTEE

1. The Quality Assurance Steering Committee shall be responsible for ensuring compliance with academic quality benchmarks and standards in teaching and research departments across the University. The Deputy Vice Chancellor for Academic & Student Affairs shall be the Chairperson of the Committee, and its Secretary shall be the Director of Strategy &Quality Assurance who will be responsible for organising the agenda and convening meetings of the Committee.

2. The Committee shall have the following responsibilities:

(a) Providing University-wide monitoring of quality assurance processes and ensuring quality compliance in teaching and research departments across the University;

(b) Establishing quality enhancement policy and strategy;

(c) Establishing policies and guidelines to maintain and improve educational quality in the following areas-academic management of courses and programs, student assessment, academic integrity, effective and excellent teaching, and international benchmarking;

(d) Establishing a framework for internal self-assessment and external peer review, and overseeing review of academic programs;

(e) Deciding on the review cycle and internal assessment plans;

(f) Establishing quality assurance roles and responsibilities in the University- students, academic staff, alumni and community, faculties and schools, academic support units, University Secretary, Deputy Vice Chancellors, Academic Council, Management Board, and University Council;

(g) Advising the Academic Council and Management Board on policies and regulations relating to quality assurance;

(h) Receiving and evaluating annual reports from School Boards on teaching and learning in the programs of the School and making annual reports to Academic Council and Management Board on its findings;

(i) Through its chair to report to the Academic Council and Management Board on a quarterly basis on progress of the implementation of recommendations agreed to in Action Plans.

3. The Committee shall meet once every month and it shall submit quarterly reports to the Academic Council and the Management Board.

69 4. The Committee will:

(a) Receive and consider reports from Faculty Boards related to quality assurance and enhancement of learning, teaching and assessment and supporting students’ learning;

(b) Receive and consider reports from the Curriculum Committee related to quality assurance and improvement of academic curricula;

(d) Liaise with the Academic Administration & Enhancement Committee on matters of joint interest.

5. The Committee shall comprise of the following members:

(a) The Deputy Vice Chancellor for Academic & Student Affairs; (b) The Director of Strategy& Quality Assurance; (c) The Registrar; (d) The Director of Learning and Teaching Services; (e) One Faculty Dean approved by the Academic Council, for a 2-year term; (f) The Executive Director-University Services; (g) The Director of ICT Services.

STATUTE XXVII-D: STAFF APPOINTMENT COMMITTEES

1. The Staff Appointment Committee(s) shall examine the academic and professional credentials and overall suitability of candidates who have been short-listed for appointment to various academic and administrative posts in the University. After interviewing the candidates, the respective Committee will make appropriate recommendations to the Management Board.

2. Academic Staff at the Level of Professors, Associate Professors and Senior Management/Administrative staff

(a) The Chairperson of the University Council shall chair the Appointment Committee for academic staff at the level of Professor, whereas the Vice Chancellor will Chair Appointment Committee for academic staff at level of Associate Professor and for senior management and administrative staff.

(b) The Chairperson of the Appointment Committee may require that the credentials of short-listed candidates be reviewed by external assessors who are experts in the candidates’ areas of specialisation before the committee meets to consider the candidates for appointment. The Chairperson may also invite suitably qualified experts from outside the University to sit in the appointment

70 committee for specific candidates. Such invited members shall not have the right to vote.

(c) The other members of the Committee shall include the University Secretary, the Deputy Vice Chancellors, the Head of the respective department, and the Executive Director for Human Resources, who shall be the Secretary to the Committee.

3. Senior Lecturer, Lecturer

Members of the Appointment Committee for Academic Staff of the level of Lecturer to Senior Lecturer and equivalent academic grades shall be as follows:

(a) The Deputy Vice Chancellor for Academic & Student Affairs, who shall chair the Committee; (b) The Dean of the respective Faculty/School/Institute; (c) The Registrar; (d) The Executive Director for Human Resources, who shall be the Secretary to the Committee.

4. Management Level Administrative Staff and Supervisory staff

Members of the Appointment Committee for management-level Administrative and Supervisory Staff shall be:

(a) The University Secretary, who shall chair the Committee; (b) The Registrar; (c) Executive Director of University Services; (d) Executive Director of Finance; (e) Head of respective department; (f) The Executive Director for Human Resources, who shall be the Secretary to the Committee.

STATUTE XXVII-E: HUMAN RESOURCES COMMITTEE

1. The Human Resources Committee shall be responsible for:

(a) Overseeing the implementation, and review of polices and strategies on employment of all University staff, including policies on recruitment and selection, staff development and training, performance management and remuneration of staff, and other terms and conditions of service;

(b) Reviewing and evaluating the effectiveness of the University’s employment policies and providing regular reports and advice to the Management Board;

71 (d) Reviewing and making recommendations to the Management Board, the salaries and other terms and conditions of service of all University employees, other than those of the Vice Chancellor, the Deputy Vice Chancellors, the University Secretary, and such other senior officers of the University as the University Council may from time to time determine;

(e) Establishing a performance management scheme and using it in monitoring key performance indicators of all staff, as agreed by the University Council;

(f) Submitting proposals and recommendations to the Management Board on strategy and policy in all matters relating to the recruitment, reward, retention, motivation and development of the University’s staff;

(g) Providing reports to the Management Board relating to promotion, re-grading, the award of salary increments and contribution payments to salaried staff;

(h) Submitting annual reports and any recommendations and proposals thereof, to the Management Board concerning the terms and conditions of service of employees of the University;

(i) Conducting annual customer satisfaction surveys and submitting reports to the Management Board.

2. The Chairperson of the Committee shall be the University Secretary; and its Secretary shall be the Executive Director for Human Resources who shall be responsible for organising the agenda and convening meetings of the Committee, and submitting timely reports to the Management Board.

3. Members of the Human Resources Committee shall be as follows:

(a) The University S0ecretary (b) The Executive Director for Human Resources; (c) The Executive Director of Finance; (d) The Registrar; (e) One Faculty Dean approved by the MB, to serve for one term of 2 years; (f) The Dean of SBS or designee; (g) One senior member of academic staff of the rank of at least senior lecturer, approved by the MB to serve for one term of 2 years; (h) One senior manager of the rank of at least director, approved by the MB, to serve for one term of 2 years.

4. The Committee will meet at least once every quarter and will submit timely reports to the Management Board.

72 STATUTE XXVII-F: BUDGET ADVISORY COMMITTEE

1. The Budget Advisory Committee shall be responsible for the allocation and monitoring of University resources in a fair and transparent manner.

2. The guiding principle of this Committee shall be that budgeting should be an on-going process and should be done in consultation with all organisational units of the University.

3. The Budget Advisory Committee, working in on-going consultation with the Vice Chancellor and the Deputy Vice Chancellors, shall :

(a) Advise the Vice Chancellor and the Management Board on general budget policy issues that affect the University;

(b) Recommend budget allocations for strategic initiatives; and provide annual recommendations to the MB regarding budget allocations in line with University strategic planning;

(d) Review annually the relationship of enrolment targets to the proposed budget;

(e) Advise the Vice Chancellor regarding the format for reporting annual budget data to the University community in a thorough and consistent manner such that annual changes in the budget are easily tracked and understood;

(f) Advise the Vice Chancellor and the MB during the fiscal year regarding significant or unanticipated events that have a significant effect upon budget allocations;

(g) Advise Academic Council and its committees on the budgetary implications of matters within the jurisdiction of Academic Council and its Committees, including proposals for new educational, research or other programs or initiatives, as required by Academic Council and its committees;

(h) Advise the VC and the MB on the review and development of academic budgetary priorities, major capital plans, and the allocation of funds;

(i) At the request of the VC or the MB, provide advice on matters related to the University's property, buildings and structures;

(j) Assist the MB in the development of budgetary policies, guidelines, processes and models;

73 (k) Assist the MB with the development of consultation and communication strategies related to budgetary matters;

(l) Study and recommend long-term policies for the allocation of financial resources.

(m) Examine budgets and advise the administration on the preparation of the budgets and the allocation of funds within budget categories;

(n) Maintain close contact with the Human Resource and Academic Administration & Enhancement Committees so that the work of these committees is reflected in budget policies.

4. Members of the Budget Advisory Committee shall be as follows:

(a) The University Secretary; (b) The Executive Director of Finance; (c) One Faculty Dean approved by the MB, for a 2-year term (d) The Registrar (e) Dean of SBS or designee (f) Executive Director of University Services (g) Executive Director for Human Resources (h) Manager, Budget Development (ex-officio)

5. The Chairperson of the Committee shall be the University Secretary, and its Secretary shall be the Executive Director of Finance who shall be responsible for organising the agenda and convening meetings of the Committee, and submitting timely reports to the Management Board. The Office of the Executive Director of Finance shall provide administrative support to Committee.

6. The Budget Advisory Committee shall convene at least once a quarter per year. A quorum of any meeting of the Committee shall consist of a majority of its voting members.

7. The Chair, in collaboration with the Executive Director of Finance shall be responsible for establishing the agendas for meetings. An agenda, together with relevant materials, shall be sent to committee members at least seven days in advance of the meeting. Minutes for all meetings shall be reviewed by the committee chair, and approved by committee members at the following meeting.

STATUTE XXVII-G: INVESTMENT COMMITTEE

1. The purpose of the Investment Committee is to maintain the prudent and effective investment of the University’s financial assets, and oversee management of the endowment funds.

74 2. The primary objective of the Committee is to optimize the performance of the University’s investment programs. This includes developing investment policies, strategic asset allocation, policy and performance benchmarks, and risk management practices.

3. The Executive Director of Finance shall have the responsibility for management of the University’s investments, including selecting the investment managers and consultants, and seeking advice from the Committee and approval from the MB as required.

4. Responsibilities of the Committee are:

(a) Provide tactical oversight of the investment management program and to assure that the policies established by the University are implemented and adhered to;

(b) Establish, review, and update the investment policy for approval by the MB. Oversee the adoption of appropriate risk management policies and procedures to manage, to the extent possible, market, liquidity, operational, credit, and other investment and asset management risks;

(c) Develop guidelines for retaining investment managers, standards against which their performance will be measured, and a schedule for conducting evaluations;

(d) Review overall investment performance, asset allocation, and expenses. Report on investment performance and changes in investments to the MB at least on a quarterly basis;

(e) Execute other such duties as delegated by the MB.

5. The members of the Investment Committee shall be:

(a) University Secretary; (b) Executive Director of Finance; (c) Dean of SBS or designee; (d) Two persons who have investment, business or endowment expertise appointed by the Management Board; (e) Manager, Treasury and Investment(ex-officio)

6. The Chairperson of the Committee shall be the University Secretary, and its Secretary shall be the Executive Director of Finance who shall be responsible for organising the agenda and convening meetings of the Committee, and submitting reports to the Management Board. The Office of the Executive Director of Finance shall provide administrative support to the Committee.

7. The Investment Committee shall convene at least once every quarter per year. A quorum of any meeting of the Investment Committee shall consist of a majority of its voting members.

8. An agenda, together with relevant materials, shall be sent to Committee members at least seven days in advance of the meeting.

STATUTE XXVII-H: ICT SERVICES & STRATEGY COMMITTEE

1. ICT Services & Strategy Committee shall have the broad function of reviewing ICT opportunities, risks and issues and advising the Management Board. The Committee shall be chaired by the University Secretary and its Secretary shall be the Director of ICT Services who shall be responsible for organizing the agenda and convening the Committee’s meetings.

2. The Committee shall be responsible for the following matters:

(a) Reviewing ICT Strategy to ensure that it aligns with, and extends the University’s Corporate Strategy, and submitting reports to the Management Board;

(b) Reviewing ICT budgets to ensure they are in line with University’s priorities and strategies;

(c) Reviewing and monitoring the effectiveness of ICT policy framework, and ensuring that it safeguards University’s ICT resources and facilitates the achievement of University’s goals, and submitting reports to the Management Board;

(d) Reviewing and monitoring the effectiveness of Information Security Management framework, and ensuring that adequate controls exist to mitigate against identified ICT risks, and submitting reports to the Management Board;

(e) Reviewing and monitoring the effectiveness of the provision and administration of ICT services in the University and making recommendations to the Management Board;

(f) Conducting annual customer satisfaction surveys and submitting reports to the Management Board.

3. The Committee will meet at least once every quarter and submit reports to the Management Board on its work.

4. Members of the ICT Services &Strategy Committee shall be:

(a) The University Secretary; (b) Director of ICT Services; (c) Dean, School of Information Technology and Engineering; (d) Dean of SBS or designee;

76 (e) The Registrar or designee; (f) The University Librarian; (g) Executive Director of Finance.

STATUTE XXVII-I: PROCUREMENT COMMITTEE

1. The Procurement Committee shall be responsible for ensuring that the University’s procurement policies and procedures are complied with and that the award of tenders pays due regard to the pricing, quality of goods and services, and ability of the bidder to supply the required goods and services within stipulated time.

2. The Committee shall be chaired by the University Secretary and its Secretary shall be the Procurement Manager who shall be responsible for preparing agenda and convening the Committee meetings.

3. The members of the Procurement Committee shall be:

(a) The University Secretary; (b) The Registrar; (c) Executive Director of University Services; (d) Executive Director of Finance; (e) Director of ICT Services; (f) Director of Estates and Institutional Planning; (g) The Procurement Manager (ex-officio).

STATUTE XXVIII: EXECUTIVE INTERNAL AUDIT AND RISK COMMITTEE

1. The Executive Internal Audit and Risk Committee shall be responsible for assisting the Chief Internal Audit and Compliance Officer in the following matters:

(a) Determining priorities, reviewing the internal audit/compliance plans and ensuring follow-up to internal audit/compliance reports occurs and appropriate corrective action is taken when violations arise;

(b) Reviewing and assessing the potential risks being assumed by the University to confirm that they are in alignment with the University’s mission and objectives and for ensuring that necessary mitigation strategies are in place, resourced appropriately, and integrated with existing initiatives to enhance management and control;

(c) Ensuring that proposals on the internal audit and compliance work plans are submitted to the Audit & Compliance Committee of the University Council for approval;

77 (d) Ensuring that quarterly internal audit and compliance reports are submitted to the Audit & Compliance Committee of the University Council;

(e) Reviewing and monitoring the progress of the implementation of recommendations in the action plans contained in both the internal audit and compliance reports, and the external audit reports and, ensuring that quarterly reports are submitted to the Audit & Compliance Committee of the University Council.

2. The Committee shall be chaired by the Chief Internal Audit and Compliance Officer who will be responsible for convening Committee meetings and for organising the agenda for the meetings. The Chair will also be responsible for submitting Committee reports to the Audit & Compliance Committee of the University Council.

3. The members of the Executive Internal Audit and Risk Committee shall be:

(a) The Chief Internal Audit & Compliance Officer; (b) Executive Director of Finance; (c) The Registrar or designee; (d) Executive Director of University Services; (e) Director of ICT Services; (f) The Director of Support & Administration Services (SBS); (g) The Head of Legal & Governance Services or designee.

STATUTE XXIX: COMMITTEES OF THE ACADEMIC COUNCIL

1. The Academic Council may constitute standing and ad hoc committees from time to time.

2. The following are the standing committees of the Academic Council for the time being:

(a) Curriculum Committee; (b) Student Disciplinary Committee; (c) Student Grievance Committee; (d) Library Committee; (e) Advisory Committee on Student Financial Aid; (f) Student Affairs Committee; (g) Research Committee; (h) Timetabling Committee.

STATUTE XXIX-A: CURRICULUM COMMITTEE

1. The overall role of the Curriculum Committee is to ensure that Strathmore’s academic programs and courses are aligned to the mission and educational aims of the University and that they meet the needs of students, industry, government and society.

78 The Committee will also have oversight responsibility for quality enhancement in teaching and learning.

2. The Chairperson of the Committee shall be appointed by the Vice Chancellor from among senior members of academic staff after approval by the Academic Council to serve for a term of two years. The person so appointed will be answerable to the Deputy Vice Chancellor for Academic and Student Affairs and to the Academic Council, and will sit on the Academic Council for the duration of his or her term.

3. The Director of Learning and Teaching Services will be the Secretary to the Committee, and shall work closely with the faculties and schools in organising the work of the Committee.

4. The membership of the Committee shall be as follows:

(a) The Chairperson; (b) The Director of Learning and Teaching Services; (c) Faculty curriculum development representatives of at least senior lecturer level.

5. The roles and responsibilities of the Curriculum Committee include:

(a) Ensuring that any undergraduate curriculum proposal recommended to the Academic Council for approval is properly designed in line with the University’s and Commission for University Education’s guidelines for preparing an academic program;

(b) Reviewing and evaluating the University’s policies and procedures related to curriculum development processes and quality in learning and teaching to ensure consistency between policy and practice; and submitting timely reports to the Quality Assurance Office and to the Academic Council;

(c) Overseeing the review of undergraduate curricula to ensure alignment with customer and/or discipline needs, consistency with the University’s mission and educational aims and philosophy and compliance with the Commission for University Education requirements;

(d) Improving communication of curriculum management policies and procedures by including status report of curriculum changes to the Academic Council and placing new or revised curriculum guidelines on the University’s web;

(e) Working with faculty and academic department heads to revise curriculum proposals that do not meet the University’s and Commission for University Education standards;

(f) Working with the library to determine areas of library collections that need to be developed and relay that information to schools and faculties to provide better coverage and allotment of library materials;

(g) Supporting faculties and schools in the transition from old to new/revised curriculum by having a database of new, deleted and revised courses;

(h) Ensuring that learning, teaching, curricula and institutional infrastructure to support learning and teaching are monitored, reviewed and benchmarked continuously on annual basis as part of the University’s quality assurance processes;

(i) Assure alignment between learning and teaching programs and practices with the University's goals, values and strategic objectives;

(j) Identify areas of learning, teaching, curriculum or institutional infrastructure for learning and teaching in need of improvement, and develop action plans to address areas in need of improvement;

(k) The Curriculum Committee shall take the lead within the University for the oversight of academic quality standards. The Committee shall achieve its aims and objective by:

i) Managing the periodic internal review of learning and teaching; ii) Reviewing external examiners’ annual reports; iii) Overseeing the annual and 5-year review of programs; iv) Reviewing and monitoring the effectiveness of the University’s learning and teaching strategy; v) Managing the University’s response to School learning and teaching enhancement plans; vi) Overseeing the development and management of codes of good practice and other quality enhancement procedures; vii) Promoting quality enhancement and the dissemination of good practice.

6. The Committee shall meet at least once every month and present its reports to the Quality Assurance Office and to the Academic Council. The quorum for meetings shall be the nearest whole number above one half of the membership of the Committee. The Committee may invite other persons to attend its meetings in an advisory capacity, and such persons will be listed “in attendance”, and shall have no voting rights.

STATUTE XXIX-B: STUDENT DISCIPLINARY COMMITTEE

1. This Committee deals with matters pertaining to student discipline in the University. The Committee is chaired by the Deputy Vice Chancellor for Academic & Student Affairs who is responsible for convening Committee meetings; and its Secretary is the Dean of Students who is responsible for organizing the agenda for the Committee hearings.

2. Members of the Committee shall be:

(a) The Deputy Vice Chancellor for Academic & Student Affairs; (b) The Registrar; (c) The Dean of Students; (d) The Dean of Faculty, School or Institute in question; (e) Head of Student Mentoring Services; (f) Director of Legal & Governance Services or Designee-Ex Officio.

3. The Committee shall have the mandate to hear and determine any cases of examination irregularities and general disciplinary cases relating to students, and make appropriate recommendations to the Academic Council.

4. Before taking a decision, the Committee shall conduct a hearing of the student or students concerned and may call upon other parties as it may deem necessary.

5. The hearing procedures shall be as follows:

(a) The Dean of the School to which the affected student belongs or the Head of Department originating the complaint shall send a report to the Chairperson of the Student Disciplinary Committee, providing him/her with a written account of the incident and the charges being preferred against the student in question;

(b) The Chairperson shall convoke a meeting of the Disciplinary Committee to be held within one month of the report being received by him/her;

(c) The Secretary to the Committee shall notify the affected student(s) and the complainant of the date, time and place of the meeting and their right to be present and to call a witness or witnesses.

(d) The student(s) shall be present in person and not by proxy or any other person.

(e) The Committee shall hold an enquiry but shall not be required to adhere to the rules of evidence or procedures as applied in a Court of Law. The Academic Council shall keep an updated Student Disciplinary procedure. However, the Committee shall ensure that all sides are accordingly heard and that those persons required as witnesses do not sit as members of the Committee. (f) The Committee shall rely only on the evidence presented at the hearing(s). The deliberations and decisions of anyone previously considering the matter shall be irrelevant for the Committee’s purposes.

(g) The Committee shall find a student guilty of misconduct only if, on the evidence before it, it is satisfied beyond reasonable doubt of the student’s guilt.

(h) If two or more students are involved in related misconduct, the Committee may at its discretion join their cases together.

(i) The Committee’s decision shall be arrived at either by consensus or by simple majority of votes. (j) No charge will be found to be substantiated unless there is clear, convincing and reliable evidence in support of the charge established at the hearing.

(k) Where the charge has been found substantiated, and prior to the decision as to the appropriate judgement, the student and the Head of Department originating the charge, shall be allowed to make presentations in regard to the disposition of the case.

(l) A record of the proceedings shall be kept with the records of the Committee and a copy sent to the Vice-Chancellor’s office. This record should consist of a summary of the issues and the specific charges, the outcome of the deliberations, and all documents submitted in the course of preparing and conducting the hearing.

6. The Dean of Students shall act as Secretary in all proceedings and be a non-voting member of the Hearing or Appeal Committee as the case may be.

7. The Committee shall have power to impose any one or more of the following measures and/or penalties depending on the nature and gravity of the offences committed and the evidence called in support thereof:

(a) Dismiss the case against the student; (b) Issue a letter of warning or reprimand; (c) Require the student to make good any loss or damage to University property and/or pay damages commensurate with the nature and gravity of the offence; (d) Put the student on probation for a specific period of time; (e) Recommend to the Academic Council the suspension, dismissal or expulsion of the student from the University; (f) A combination of any two or more of the above; (g) Impose any other penalty or penalties in accordance with these Statutes as the Committee may deem fit to impose.

8. The student concerned or the complainant may appeal to the Vice-Chancellor the decision of the Disciplinary Committee as it pertains to the substantiation of the charge, the disposition chosen, or both. The Vice- Chancellor may at his/her discretion appoint an Appeals Committee consisting of three members of Academic Staff to hear the appeal.

9. A student wishing to appeal must notify the Dean of Students of the intention to do so within 14 days of receiving official notice of the Disciplinary Committee’s decision. The notice of appeal must be accompanied by a concise written statement that identifies precisely the grounds upon which the appeal is based.

82 10. No suspension, dismissal or expulsion ordered by Disciplinary Committee shall take effect until the appeal is decided. However if the appeal is denied, dismissal or expulsion is retroactive to the date of the original decision, and the suspension shall take effect from the date of the Appeal Committee’s decision. If the Appeal Committee upholds the decision of the Disciplinary Committee the matter shall be closed and such decision shall be considered final.

11. Notwithstanding the foregoing, all disciplinary officials in the University, including teaching staff and invigilators shall have limited disciplinary powers including powers of exclusion as set out in the Student Disciplinary Procedures’ handbook.

STATUTE XXIX-C: STUDENT GRIEVANCE COMMITTEE

1. The Deputy Vice Chancellor for Academic& Student Affairs shall appoint a three- member Committee of senior members of staff to hear and determine cases of student grievances as and when necessary.

2. The Student Grievance procedure is aimed at providing a fair hearing to any student in the event of such a student being aggrieved.

3. The procedure for hearing student grievances shall be as follows:

(a) An aggrieved student should in the first instance try to resolve the grievance informally through the Department, Faculty or through the Dean of Students’ Office;

(b) If the student is not satisfied with the solution to the redress sought through the informal channels, he or she may lodge a formal complaint;

(c) Any grievance shall be reported in writing to the Dean of Students. The report must contain a concise statement of the grievance alleged, the procedures already followed and the redress sought;

(d) The Dean of Students shall prepare a report on the case and submit it to the Deputy Vice Chancellor for Academic& Student Affairs;

(e) The aforementioned Deputy Vice-Chancellor may then at his or her discretion, appoint a three member committee of senior staff of the University to hear the case and recommend an appropriate course of action;

(f) The Chairperson of the Committee shall be selected from among the three members of the Committee, and he or she shall determine the procedure to be followed during the hearing;

(g) The Committee may dispense with a hearing if the submitted materials indicate that there are no material facts in dispute. If there are material facts in dispute, the Committee shall hold a hearing. The rules of evidence applicable in a Court

83 of Law shall not apply to the hearing. Evidence which is not substantially relevant shall be excluded;

(h) The Committee shall have the power to recommend such actions as it sees fit having due regard to the circumstances of the case. The decision of the Committee and the reasons for the decision shall be communicated in writing to the Deputy Vice Chancellor for Academic& Student Affairs and the parties concerned. Copies of the decision shall be placed in the Dean of Students’ Office;

(i) The Deputy Vice Chancellor for Academic & Student Affairs shall ensure that the decision of the Committee is implemented without delay.

STATUTE XXIX-D: LIBRARY COMMITTEE

1. The Library Committee deals with all matters pertaining to policy and strategic development of the University’s library services. The Committee is chaired by the Deputy Vice Chancellor for Academic & Student Affairs who is responsible for convening Committee meetings; and its Secretary is the University Librarian who is responsible for organizing agenda for the Committee’s meetings.

2. Membership of the Library Committee shall be as follows:

(a) The Deputy Vice Chancellor for Academic & Student Affairs; (b) The University Librarian; (c) The Registrar; (d) One Faculty Dean approved by the Academic Council to serve for one term of two years; (e) The Dean of SBS or designee; (f) One senior member of academic staff of the rank of at least senior lecturer, approved by the Academic Council to serve for one term of two years; (g) The Director of ICT Services.

3. The Library Committee shall:

(a) Make recommendations to the Academic Council on library policy that will make information resources accessible to the University community in an efficient and effective way;

(b) Make proposals on library budgets and resource requirements to the Budget Advisory Committee;

(d) Assist and advise the Librarian on all matters relating to the provision of library services in the University;

84 (e) Prepare the Library’s strategic development plans and annual work plans;

(f) Review departmental information resource requirements;

(g) Ensure that all books, journals and other materials acquired by the library comply with the ethical standards desired by the University;

(h) Ensure that the Library creates and maintains an online repository of all research publications, theses, dissertations and research reports by staff and research student of the University;

(i) Deal with any other library-related matters referred to it by the Academic Council.

4. The Library Committee shall meet once every two months and submit reports to the Academic Council.

STATUTE XXIX-E: ADVISORY COMMITTEE ON STUDENT FINANCIAL AID

1. The shall Advisory Committee on Student Financial Aid, hereafter referred to as Advisory Committee, has oversight role for the administration and management of the University’s student financial aid programs in accordance with the established financial aid policies as detailed in Schedule XV of these Statutes.

2. The Advisory Committee is responsible for the following matters:

(a) Periodic review and evaluation of the goals of financial aid to students;

(b) Recommendation of activities and talent areas for which students would be eligible to receive financial aid;

(c) Recommendations on the allocation of institutional waivers and other aid resources; (d) Annual review of student wage rates and student employment policies;

(e) To advise the Academic Council and the Management Board on policy matters relating to financial aid programs;

(f) To review all applications and supporting materials for scholarships and bursaries and, award scholarships and bursaries to qualified applicants while observing the rules of equity and fairness.

3. The Chairperson of the Advisory Committee shall be appointed by the Vice Chancellor from among senior full time employees of the University after approval by the Management Board.

85 4. The Head of Financial Aid Office shall serve as the Secretary to the Advisory Committee, and is responsible for organising the agenda for the Committee’s meetings. The Financial Aid Office shall provide administrative support to the Committee.

5. Membership of the Advisory Committee shall be as follows:

(a) The Chairperson of the Advisory Committee (b) One member of the Student Council (c) A representative of the Advancement & Alumni Relations Office (d) One Dean of Faculty /School approved by the Academic Council to serve for a term of two years. (e) The Dean of Students (f) The Director of Admissions Services (g) The Head of Financial Aid Office

6. The Advisory Committee shall meet at least once every semester and submit reports to the Vice Chancellor, the Management Board and the Academic Council.

STATUTE XXIX-F: STUDENTS AFFAIRS COMMITTEE

1. The Student Affairs Committee shall has the responsibility of contributing to the improvement of student learning and the quality of the Strathmore educational experience as related to co-curricular programs and student support services. The Committee monitors the effectiveness of, and serves as the locus of, consultation in the formulation and recommendation of policies and program initiatives that affect student life and that contribute to the satisfaction and success of Strathmore students.

2. The Student Affairs Committee provides a forum through which Student Affairs may consult and inform faculty on student life areas, policy, and procedures. The aim is to gain faculty perspective and enhance faculty knowledge of student life initiatives and services.

3. The functions of the Student Affairs Committee are to advise the Deputy Vice Chancellor for Academic & Student Affairs, to exercise delegated responsibility from the Academic Council in matters pertaining to student social and conduct regulations, and to exercise oversight responsibility in the general realm of non-academic student affairs.

4. Responsibilities of the Student Affairs Committee are as follows:

(a) Promote continual improvement of co-curricular programs, student support services, and other aspects of integrated learning such as student mentoring, new student programs, career development services, health education, parent programs, student community engagement and social responsibility, student clubs, organisations and sports, student initiatives and leadership;

86 (b) Review, evaluate and improve policies and programs related to student life to ensure their consistency with, and contribution, to the mission and goals of Strathmore as an entrepreneurial university with a Christian identity;

(d) Ensure that the University regularly reviews and assesses the quality and effectiveness of services to students;

(e) Ensure appropriate consultation with students, faculty, and staff in the Committee's deliberations;

(f) Advise the Deputy Vice- Chancellor for Academic & Student Affairs on issues identified by either the DVC or the Committee;

(g) Review and recommend to the Academic Council policies and procedures for the establishment and recognition of all student clubs, groups, and organizations at the University;

(h) Make recommendations to the Academic Council concerning applications for recognition by specific student clubs, groups, and organizations;

(i) Review and recommend to the Academic Council policies, procedures and regulations concerning student affairs in such areas as student rights and responsibilities and student discipline and grievance;

(j) Review, evaluate and regulate co-curricular activities for students, such as games, sports, choir, drama, cultural fairs, tours and non-academic visits;

(k) Review constitutions of the Student Council, students’ clubs and societies and make recommendations to the Academic Council;

(l) To deal with all matters pertaining to campus life of students.

5. The Chairperson of the Student Affairs Committee shall be appointed by the Vice Chancellor from among senior full time employees of the University for a term of two years, after approval by the Academic Council. He or she shall report to the Deputy Vice Chancellor for Academic & Student Affairs, and shall sit in the Academic Council. The Dean of Students shall serve as the Secretary to the Committee, and is responsible for organising the agenda for the Committee’s meetings. The Office of the Dean of Students shall provide administrative support to the Committee.

6. Membership of the Student Affairs Committee shall be as follows:

(a) The Chairperson of the Committee; (b) The Registrar;

87 (c) The Dean of Students; (d) The Chairperson of Student Council; (e) The Games and Sports Officer; (f) Mentoring Services Manager; (g) Career Development Services Manager; (h) A student member approved by the Student Council for a one-year term; (i) A faculty member approved by the Academic Council for a term of two years.

7. The Student Affairs Committee shall meet at least once every month and submit timely reports to the Academic Council.

8. Any action taken by the Student Affairs Committee that has substantial academic content shall be reported to the Executive Committee of Academic Council, which shall place them on the agenda of the Academic Council.

9. Any action taken by the Student Affairs Committee which does not have substantial academic content is made directly to the Vice Chancellor via the deputy Vice Chancellor for Academic & Student Affairs and need not be acted upon by the Academic Council, although the Vice Chancellor may desire to consult with this or other groups in deciding to approve, modify, or reject such action(s) taken by the Student Affairs Committee.

10. Matters to be considered by the Student Affairs Committee will originate from a number of sources, but it is expected that the Student Council will be an important source of suggestions for action by Student Affairs Committee.

STATUTE XXIX-G: RESEARCH COMMITTEE

1. This is a Committee of the Academic Council responsible for the development, implementation, and continuous review of all University regulations and policies on research, innovation and intellectual property, resources and services.

2. The Committee’s responsibilities are:

(a) Review operational research management plans prepared by the Research Services Office and make recommendations to the Academic Council;

(b) Review strategic plans for research in the University prepared by Research Services Office and make recommendations to the Academic Council;

(c) Review annual research budgets prepared by Research Services Office and make appropriate recommendations to the Management Board;

(d) Monitor research quality and productivity in the University and preparing metrics for measuring research performance by schools and the University as a whole in collaboration with the Strategy & Quality Assurance Office;

(e) Review and evaluate applications for internal research grants after processing by Research Services Office and award grants to successful applicants in accordance with approved policies and procedures;

(f) Advice the Vice Chancellor and the Academic Council on all matters concerning research performed at the University;

(g) Ensure that annual research reports are prepared by Research Services Office and submitted to the Strategy &Quality Assurance Office and to the Academic Council in a timely fashion;

(h) Set guidelines for establishment of new research centres/institutes; and establish procedures for reviewing and evaluating proposals for establishing such research units in the University;

(i) Review and evaluate proposals for establishment of new research centres/institutes in the University and make recommendations to the Academic Council;

(j) Set standards for performance for both new research centres/institutes and existing ones; and establish procedures for regular review and monitoring performance of the centres or institutes;

(k) Review and evaluate the performance of research centres on annual basis and make timely reports to the Academic Council.

3. The Research Committee is a University-wide committee and shall be composed of members of faculty and administration. The Committee will consist of members of senior faculty with substantial research experience, appointed by the Vice Chancellor after approval by the Academic Council, each to serve for a term of two years. Each of the current broad divisions of the subject disciplines present in the University’s academic programs will be represented by at least one committee member. The Dean of the School of Graduate Studies and the Executive Director of Finance shall be ex- officio members of the Committee.

4. The Deputy Vice Chancellor for Research shall be the Chairperson of the Committee. The Dean of Research shall serve as the Secretary to the Research Committee and is responsible for organizing the agenda for the Committee’s meetings. The Research Services Office shall provide administrative support to the Committee.

5. Meetings of the Committee shall be held at least once every month at such time and place as the Chairperson of the Board may determine. The quorum for meetings of the Committee shall be the nearest whole number above half the membership of the Research Committee. The Committee may invite other persons to attend its meetings in an advisory capacity, and such persons shall be listed "in attendance", and will have no voting rights at such meetings.

6. The Chairperson of the Research Committee shall preside over all meetings of the Committee. Decisions of the Committee shall be arrived at by a simple majority of those present and eligible to vote. The Chairperson shall have an original and a casting vote in case of an equality of votes.

7. Notices and Agenda for ordinary meetings of the Research Committee shall be circulated to members at least one week before the scheduled date of the meeting. Minutes of all proceedings of the Committee shall be recorded and kept by the Dean of Research. Minutes of any meeting shall be confirmed, subject to any corrections and amendments, and signed by the Chairperson and the Dean of Research. Copies of the confirmed minutes of all meetings of the Committee shall be forwarded to the Vice Chancellor, the University Secretary, and the Registrar.

8. The Chairperson of the Research Committee has responsibility for providing effective leadership to the Committee and ensuring that:

(a) The Committee operates efficiently and, that its members work together effectively and have confidence in the procedures laid down for the conduct of business;

(b) Committee meetings take place as scheduled and that minutes of meetings accurately record decisions taken;

(c) The Committee, in reaching decisions, takes proper account of relevant University policies ,regulations and guidelines pertaining to research management in the University;

(d) Copies of minutes of Committee meetings are forwarded to the Vice Chancellor, the University Secretary, and the Registrar;

(e) Quarterly reports on Committee performance are presented to the Academic Council in a timely manner; (f) Annual assessment of performance of the Office of the Dean of Research against strategic objectives is carried out and a report submitted to the Vice Chancellor and the Academic Council by end of September each year.

STATUTE XXIX-H: TIMETABLING COMMITTEE

1. The Timetabling Committee is responsible for the preparation of the master teaching timetable of the University. It is also responsible for preparing the University calendar.

2. The Timetabling Committee shall ensure that respective teaching timetables are harmonized and that lecture rooms, lecture theatres and laboratories are allocated without conflicts.

3. The Committee shall be chaired by the Registrar and its Secretary shall be the Academic Registry Manager.

4. Membership of the Timetabling Committee shall be as follows:

(a) The Registrar; (b) One representative from each faculty, school or institute.

STATUTE XXX: TERMS OF SERVICE FOR STAFF

1. The University Council shall approve the general terms and conditions of service as well as the promotion criteria for all staff of the University.

2. Subject to these Statutes, the Management Board shall appoint and promote such academic and administrative staff, except for those positions whose appointment is reserved to the University Council and those positions whose appointment is subject to consultation with the Chancellor, as it may deem necessary for the efficient functioning of the University with such duties and upon such terms and conditions as the University Council may prescribe from time to time.

3. Subject to these Statutes, the Management Board may make such other appointments and promotions, whether paid or honorary, as it may deem fit.

4. The Management Board shall determine the number of persons employed by the University and the categorization of its employees for purposes of terms and conditions of service. Employees shall be categorized as Academic, Administrative, Supervisory and Support Staff.

5. The Management Board may review the conditions of appointment and promotion of any staff categories from time to time, provided that, in so doing, any changes in such conditions shall apply in individual cases only to the extent that the changes are mutually acceptable by the member of staff and the Management Board.

6. No official of the University or any other person employed by the University or working in or in connection with any department of, or under the control of the University, shall have authority, except with the express consent of the Management Board:

(a) To offer any person employment as a member of the University’s academic or non-academic staff, or to sign letters of appointment for such academic and non- academic staff;

(b) To dismiss any academic or non-academic member of staff.

91 7. The Management Board may delegate its powers under sections (6) above to the Vice- Chancellor or to the University Secretary, as it may deem appropriate and on such conditions as it may lay down. Consequent to that, consent signed by the Vice- Chancellor or by the University Secretary shall have the same effect as a certified resolution of the Management Board.

8. The four main categories of Academic Staff shall be Professor, Associate Professor, Senior Lecturer and Lecturer. Academic Staff involved in teaching shall be categorized and paid according to their academic qualifications and experience. Academic Staff categories are as detailed in Schedule IV of these Statutes.

9. Management and Administrative staff positions shall be categorized as shown in Schedule V of these Statutes.

10. The detailed terms and conditions of service for staff shall be as set out in Schedule VI of these Statutes.

STATUTE XXXI: UNIVERSITY ENTRY REQUIREMENTS

1. A candidate must satisfy any one of the following minimum entry requirements to be admitted into an undergraduate degree programme of the University:

(a) A holder of KCSE (or equivalent examination) certificate with a minimum aggregate of C+ and a minimum of C in both Mathematics and English, or

(b) A holder of an A-level certificate from a recognized examining body with a minimum of two principal passes and at least a credit pass in Mathematics at O- level;

(c) A holder of diploma or professional certificate in a relevant discipline from an institution recognized by the Academic Council of the University, or

(d) A holder of any other qualification accepted by the Academic Council of the University as equivalent to or superior to any of the above.

2. Candidates who hold post KCSE qualifications above may, with recommendations from the Faculty Board, be exempted from some course units subject to meeting the exemption criteria set by the Academic Council. In addition, a candidate registered in another university recognized by the Academic Council may be allowed to transfer credit to a programme of the University subject to meeting the conditions set by the Academic Council. The maximum number of courses to be exempted or given credit transfer shall not exceed 50% of the total required course units for the whole program.

3. Possession of the minimum entry requirements does not guarantee automatic admission to the University. Applicants who possess the minimum entry requirements

92 stated in (1) or (2) above will be required to pass an oral interview and an appropriate entrance test administered by the University.

STATUTE XXXII: FEES FOR VARIOUS COURSES AND PROGRAMMES

1. The Academic Council shall from time to time propose to the University Council through the Management Board fees to be charged for various academic and professional programs.

2. Fees shall be charged on the basis of all or some of the following broad fees categories:

(a) Application fee; (b) Registration fee; (c) Tuition fee (to cover: course fees, examinations, library, computer lab, attachment or internship); (d) Student activity fee; (e) Medical fee; (f) Student ID card; (g) Caution money.

3. The Registrar shall publish all fees to be charged for various academic and professional programs before the beginning of each academic year.

STATUTE XXXIII: UNIVERSITY EXAMINATIONS

1. University Examinations shall be conducted under the general control of the Academic Council and shall be categorized as Ordinary University Examinations, Special Examinations and Retake Examinations.

2. There shall be a Board of Examiners for each faculty, school or institute, which shall consist of all internal examiners as specified in Statute XIX(6). The functions of the Faculty/School/Institute Board of Examiners shall be to receive and process examination results and to recommend thereon to the Academic Council.

3. All internal examiners in a given semester shall be required to set examinations for the courses they taught and submit these to a designated officer in charge of examinations at such times and places as the Academic Council shall determine.

4. There shall be external examiners who will be appointed from outside the University by the Academic Council, for periods and on such terms as the Academic Council may from time to time determine. External examiners shall moderate draft examination questions and marked scripts.

93 5. Internal examiners shall mark the examinations within a time frame to be specified by the Academic Council and thereafter, external examiners shall moderate the marked scripts.

6. After examination moderation, external examiners shall attend meetings of the Faculty/School/Institute Board of Examiners to discuss their findings on the moderation process. 7. The Faculty/School/Institute Board of Examiners shall make recommendations to the Academic Council on the decisions made for each examination and each student.

8. External examiners shall submit detailed assessment reports to the Vice- Chancellor on the students’ performance in the moderated examinations and indicate any strengths or weaknesses noted, while recommending appropriate action. The Registrar shall compile summary of the external examiners’ reports for discussion in the Academic Council.

9. Any student found guilty of an examination irregularity shall be subject to appropriate penalties as determined by the Academic Council and elaborated in the Common Examination Regulations for Undergraduate Studies, shown in Schedule VII of these Statutes.

10. The Academic Council shall release official university examination results in the form of academic transcripts through the Office of the Registrar.

11. Any student not satisfied with the examination results may appeal to the Academic Council following a procedure elaborated in the Common Examination Regulations for Undergraduate Studies (Schedule VII). The decision of the Academic Council after such an appeal shall be final.

12. When a student requests access to examination marks, s/he is entitled to see preliminary marks and comments that contribute to final assessments.

13. Students shall have no automatic right of access to examination scripts, but a student who has received a fail mark or been offered a re-sit may have access to his/her script in the presence of a member of the teaching staff where this is judged to assist in the process of advising on examination performance. Under these circumstances, the student is not permitted to take originals or copies away with him.

14. The Academic Council shall approve the common examination regulations for undergraduate studies detailed in Schedule VIIand shall have powers to change them from time to time. The officer in charge of examinations shall ensure that the common examination regulations for undergraduate studies, and any amendments thereof, are made available to all affected academic staff and students.

15. Examination rules and regulations applicable to graduate studies are shown in Schedule IX of these Statutes.

94 STATUTE XXXIV: DESIGNATION AND AWARDING OF DEGREES

1. The University shall have powers to award the following degrees, which shall bear appropriate designation letters as shown:

(a) Bachelor’s Degrees, that is: Bachelor of Commerce BCom Bachelor of Business Information Technology BBIT Bachelor of Business Science BBS Bachelor of Science BSc Bachelor of Arts BA Bachelor of Laws LL.B Bachelor of Philosophy BPhil Bachelor of Medicine and Bachelor of Surgery MBChB

(b) Master’s Degrees, that is: Master of Science MSc Master of Arts MA Master of Laws LLM Master of Commerce MCOM Master of Philosophy MPhil Master of Business Administration MBA

Doctor of Philosophy PhD

Doctor of Business Administration DBA

2. Any degree awarded by the University shall be authenticated by a degree certificate bearing the University Seal. Degree certificates shall be signed by both the Vice- Chancellor and the Deputy Vice-Chancellor for Academic& Student Affairs, and shall incorporate a brief description of the program in which the award is made.

3. A Faculty Board may recommend a candidate to the Academic Council for the award of a degree of the University only after the candidate has attended a prescribed degree program for the minimum specified duration and passed all the prescribed examinations.

4. No person shall be awarded a degree unless he/she has paid all money due from him/her to the University in the form of fees or otherwise, and has fulfilled all the academic requirements for that degree, except in so far as being exempted from them.

5. Any degree of the University may be conferred upon a person who is not present to receive the degree under the conditions prescribed by these regulations, if the candidate has satisfied all the conditions laid down for that degree. Persons so admitted to degrees in absentia shall satisfy the requirements of clause 4 above.

6. A deceased candidate who has satisfied the academic requirements for a degree of the University shall be admitted to the degree posthumously.

STATUTE XXXV: HONORARY DEGREES

1. The University shall have powers to award the following honorary degrees:

Doctor of Science DSc Doctor of Literature/Letters DLitt Doctor of Laws LLD Doctor of Medicine DMed

2. Any member of the University Council, the Academic Council or the Academic Staff may propose in writing to the Vice-Chancellor the name of a distinguished person to be considered for the award of an honorary degree of the University. A statement setting forth the honorary degree recommended and the detailed grounds on which the recommendation is based shall accompany the proposal.

3. There shall be a joint committee for honorary degrees that will consider proposals for the award of honorary degrees and make recommendations to the Academic Council. The Vice-Chancellor shall chair the committee and the Registrar shall be its Secretary.

4. Members of the Honorary Degree Committee shall be as follows:

(a) The Vice-Chancellor (b) The Deputy Vice-Chancellors (c) The University Secretary (d) The Registrar (e) The Dean of the Faculty, School or Institute in which the degree falls. (f) Two representatives of the Academic Council (g) Two representatives of the University Council

5. The University shall admit no person to an honorary degree unless both the University Council and the Academic Council have approved the name of such a person for that purpose.

6. An honorary degree shall be awarded by the Chancellor presiding at the congregation in which the honorary degree is being awarded and, where the recipient is the presiding Chancellor, or where the Chancellor is unable to preside in person, the degree shall be awarded by the Pro-Chancellor or his designated appointee.

96 STATUTE XXXVI: HIGHER DOCTORATES

1. Higher doctorates shall be awarded by Strathmore University on the basis of a substantial body of published scholarly work that comprises a significant, distinguished and coherent contribution to knowledge in the relevant discipline.

2. This policy provides a framework for the development, structure, and administration of higher doctorate programs, so that there is consistency between disciplines across the University.

3. Each higher doctorate program shall be administered by the School of Graduate Studies in accordance with this policy and the regulations governing the administration of higher doctorate programs in the University (Schedule XVII).

4. The University shall have power to award the following higher doctorates: (a) Doctor of Letters (DLitt) (b) Doctor of Science (DSc) (c) Doctor of Technology (DTech) (d) Doctor of Laws (LLD)

5. Admission Requirements (a) The decision by the Board of Graduate Studies to admit an applicant to a higher doctorate program shall be based on the information submitted by the applicant as part of the admission process.

(b) The material to be submitted as part of an application must include: i) a complete list of the applicant’s publications and research history; ii) an overview of the material that is to be submitted for the degree; and iii) a statement of how the material to be submitted makes a coherent contribution to the advancement of knowledge. (c) The minimum period from award of bachelor’s degree to lodging an application for admission to a higher doctorate is 7 years.

6. The Higher Doctorate Degree Panel

The Board of Graduate Studies shall constitute a Higher Doctorate Panel comprising of experienced researchers to advise the Board on:

(a) Admission of the applicant to a higher doctorate program; (b) whether the material submitted by the candidate for examination is of a suitable standard and in an appropriate format; (c) nomination of examiners; and (d) recommendations on the award of the higher doctorate degree.

7. Enrolment Requirements (a) The minimum period of enrolment for all higher doctorates is one semester.

97 (b) Unlike the research higher degree programs such as PhD, higher doctorates are awarded on the basis of already completed research as demonstrated by published scholarly work. For that reason, higher doctorate programs do not require candidates to undertake substantial research during the period of enrolment.

8. Material to be Submitted for Examination (a) The material to be submitted for examination comprises:

i) the previously published scholarly work; and ii) the theoretical basis and the synthesis of the previously published work; and iii) additional material as directed by the School of Graduate Studies.

(b) Any additional material required by the School of Graduate Studies (such as discipline-specific output that demonstrates a significant and original contribution to knowledge) must be identified either in the higher doctorate program regulations; or in writing at the point of admission to the higher doctorate program.

9. Examination Process (a) The Board of Graduate Studies shall identify at least two examiners, both of whom are external to the University, and make recommendations to the Academic Council for approval before their appointment. (b) The examiners must determine the academic merit of the research and advise the Board accordingly. (c) There shall be no provision for an oral examination. (d) The Board of Graduate Studies may appoint an extra examiner or an adjudicator if

i) there is disagreement between the examiners; or ii) for any other reason determined by the Board.

(e) The recommendation to award or not to award shall rest with the Board of Graduate Studies. (f) Final approval for award of the degree shall the preserve of the Academic Council

10. Academic Integrity: A candidate for a higher doctorate shall be subject to the same regulations as other students of the University in the eventuality of any cheating or plagiarism in the preparation of the submission or other academic misdemeanor.

11. The University shall admit no person to a higher doctorate unless both the University Council and the Academic Council have approved the name of such a person for that purpose.

98 STATUTE XXXVII: CONGREGATION FOR CONFERMENT OF DEGREES

1. For the purpose of conferring degrees and the awarding of diplomas and certificates of the University, there shall be held from time to time a meeting of the University, which shall be called a Congregation.

2. The Chancellor or in his absence the Vice-Chancellor shall constitute the Congregation together with the principal Officers of the University, the academic staff, alumni, graduands and the students.

3. The Congregation shall be presided by the Chancellor or the Pro-Chancellor or his designated appointee.

4. The procedure of summoning a Congregation for the presentation of graduands and for the conferment of degrees and awarding of diplomas and certificates shall be determined by the Academic Council in consultation with the Management Board.

5. The Vice-Chancellor shall declare a Congregation of the University a meeting convened for the purpose of conferring degrees and awarding diplomas and certificates, and shall pronounce such a Congregation formally dissolved at the end of the ceremony.

STATUTE XXXVIII: EMERITUS PROFESSORSHIP

1. Following recommendations of the Academic Council, the University Council may confer the title of Emeritus Professor upon a professor of the University who has reached retirement age.

2. Appointment of emeritus professors shall be on a renewable contract for maximum of five years.

3. The position of Research Professor shall be available to professors who as they retire from active status, request this title in preference to the designation Professor Emeritus. Conferment of the title of Research Professor shall be for a maximum of five years after formal retirement from active status.

4. The Management Board shall determine the terms and conditions of appointment of emeritus or research professors, subject to approval by the University Council.

STATUTE XXXIX: STUDENT COUNCIL

1. There shall be a Student Council that will serve and represent the students of the University and act as the main forum through which students may express their views concerning their academic and social life, as provided for in section 29 of the Charter.

99 2. The Student Council shall be governed by the terms and provisions of its Constitution, whose articles shall be approved by the Academic Council.

3. Subject to the provisions of the Constitution of the Student Council, the student body may propose constitutional amendments, but these will take effect only after approval by the Academic Council.

STATUTE XL: ALUMNI ASSOCIATION

1. There shall be an Alumni Association that will serve and represent the alumni of Strathmore University, as provided for under section 30 of the Charter.

2. Membership of the Alumni Association shall be open to former graduates of Strathmore University, the former Kianda College and Strathmore College, and shall include all those who have been conferred a degree, or granted a diploma, a certificate or any other award of the University.

3. Past and present academic staff of the University may be admitted into the Alumni Association as associate members.

4. The Alumni Association shall meet and discuss any matters relating to the University and shall transmit its resolutions and recommendations thereon to the Management Board.

5. The operations of the Alumni Association shall be governed by a Constitution, whose articles shall be approved by the University Council.

STATUTE XLI: DISCIPLINE IN THE UNIVERSITY

1. In this Statute, unless the context otherwise requires, the following words and expressions shall have the stated meanings:

“harassment” means a course of unwarranted behaviour which causes and could reasonably be expected to cause such distress or annoyance as seriously to disrupt the work or substantially to reduce the quality of life of another person;

“in a university context” means either (a) on university premises; or (b) in the course of university activity within or outside the University whether academic, sporting, social, cultural, or otherwise.

2. The following shall be the Code of Discipline to be observed by all members of the University:

2.1 No member of the University shall in a university context intentionally or recklessly:

100

(a) Disrupt or attempt to disrupt teaching or study or research or the administrative, sporting, social, cultural, or other activities of the University.

(b) Disrupt or attempt to disrupt the lawful exercise of freedom of speech by members, students, and employees of the University or by visiting speakers.

(c) Obstruct or attempt to obstruct any officer, employee, or agent of the University in the performance of his or her duties.

(d) Deface, damage, or destroy any property of or in the custody of the University or of any college or of any member, officer, employee, or agent of the University, or knowingly misappropriate such property.

(e) Occupy or use, or attempt to occupy or use, any property or facilities of the University or of any college, except as may be expressly or impliedly authorized by the University or college authorities concerned.

(f) Forge or falsify any University certificate or similar document or knowingly make false statements concerning standing or results obtained in examinations.

(g) Engage in action which is likely to cause injury or to impair safety.

(h) Engage in violent, indecent, disorderly, threatening or offensive behaviour or use offensive language. (i) Engage in any dishonest behaviour in relation to the University or the holding of any university office.

(j) Refuse to disclose his or her name and other relevant details to an officer or an employee or agent of the University or of any of its colleges in circumstances where it is reasonable to require such information to be given.

(k) Use, offer, sell, or give to any person drugs, the possession or use of which is illegal.

(l) Engage in the harassment of any member, visitor, employee or agent of the University or of any of its colleges.

2.2 No member of the University shall intentionally or recklessly commit a breach of any of the regulations relating to the use of the libraries or the information and communications technology facilities of the University.

2.3 A person or body having charge of any land or building of the University, or of any facilities or services provided by or on behalf of the University, may, subject to the statutes and regulations, make regulations governing the use of that land or building or of those facilities or services.

101 2.4 No member of the University shall incite or conspire with any other person to engage in any conduct that is contrary to this Statute.

2.5 No member of the University shall intentionally or recklessly commit a breach of any regulation made under this Statute.

2.6 No student shall intentionally or recklessly commit a breach of any regulation relating to student conduct during examinations.

2.7 All students shall be required to abide by the rules and regulations governing student conduct and discipline, which are detailed in Schedule IX of these Statutes.

2.8 A member of staff of the University found to have breached any of the rules and regulations under this Statute may be required to appear before a Hearing Committee appointed by the Management Board to hold a disciplinary hearing of the case. The Committee shall comprise of a chairperson and two other members.

2.9 A student of the University found to have breached any of the rules and regulations governing student conduct and discipline may be required to appear before the Student Disciplinary Committee as provided in Statute XXIX-B of these Statutes.

STATUTE XLII: TEACHING PHILOSOPHY OF THE UNIVERSITY

1. The teaching philosophy guides the design of the course, selection of teaching methods and assignments, selection of teaching and learning materials, structure of the practical experience, assessment and feedback strategies. The University accords teaching equal importance asto research and is constantly exploring ways to improve and reward it. Lecturers are held accountable to provide clear and concise evidence of the quality of their classroom teaching.

2. The University’s promotion criteria lays emphasis on the importance of teaching in gaining promotion, and much more emphasis on the production of a dossier of evidence about teaching performance, often referred to as the teaching profile or teaching portfolio.

3. Guiding Principles (a) The teaching philosophy of the University reflects the mission statement of the University and is aimed at helping to fulfil the University’s stated mission. The teaching philosophy of an individual lecturer must correspond to the overall University teaching philosophy.

(b) Human formation: The University‘s educational philosophy is centred on humanistic education whose aim is to:

102 i) Equip students with critical capacity that would enable them have the criteria to sift ideas, and to help the students have the independence of will not to be led against their informed judgment.

ii) Inculcate in the students a mentality of service to others as part of the human formation of students

iii) To develop the supernatural dimension and bring students to know God, and thereby seek their true happiness.

The expected learning outcome of this human formation is the acquisition of the objective moral criteria needed for making decisions in both professional work and personal lives.

(c) Integral education: Education has to promote the integral development of the student, to develop the intelligence and form the will and the heart so that they can know and love God and their fellow human beings. The goal of integral education is to help students to develop their character, that is, grow in human virtues.

(d) Education in Freedom: Freedom is the most important human attribute. Education can be seen as learning how to legitimately use one’s freedom. A genuine education consists in helping the student to be free and independent, able to stand on his or her own feet.

(e) Love for Freedom: We respect the freedom of the individual person provided that this freedom is accompanied with responsibility. A person who does not want to take responsibility for his or her actions does not deserve to be free.

4. The Principal Elements of the Teaching Philosophy

(a) Passion for truth and freedom: We believe that the aim of true education should be to train the learners in personal freedom and in personal responsibility. The University has a very clear and strong understanding that education in all its manifestations is principally the development of the person to search for the tendency to the truth. This belief in the transcendental value of the search for the truth is what brings one to the responsible exercise of his/her freedom.

(b) Research-led teaching and learning: The University’s strategy is to enhance research led teaching and learning. The strategy promotes mutual reinforcement of teaching and research, where all teaching and learning in the University has a base in the creative experience of scholarly and scientific inquiry .The University encourages empirical research in teaching and learning to promote innovation in teaching methodologies and learning styles.

(c) Learner centred approach: We believe that all students admitted to study in the University have a positive orientation to learning and have an inherent capacity

103 to learn. The role of the lecturer is to facilitate learning. This involves creating the conditions necessary for deep learning to take place and creating a passion for the subject matter. We believe that the role of the student’s experience is vital to learning and that facilitating the integration of theory and practice enhances learning. We believe in student participation in their own learning and promote teaching techniques which tap into the experience of the students.

(d) Evaluation of learning should be an on-going process and the University encourages the use of both formative and summative forms of assessment. Student feedback is paramount to learning. The feedback should entail principles such as timeliness, time saving, emphasizing the formative, feed forward, guide the lecturer and lead to greater trust.

(e) Continual improvement: From all lecturers, the University asks for a dedication to their work that implies continual professional development. The university professor has to continually conduct research in his/her field, advance knowledge and then share this knowledge with students. The University fosters continual improvement among lecturers by providing moral and material support for: staff development courses, innovations in teaching and learning, embracing new technologies, empirical research in teaching and learning, advanced research in their fields.

(f) Peer Support Review: The University's approach to peer review offers all University staff whose activities directly impact on the student learning experience the opportunity to reflect on their teaching/learning support practice. Peer Support Review should promote dialogue focused on professionalism in teaching. The University expects the process to enable the professor have an understanding of how people learn, a concern for student development, a commitment to scholarship, professionalism and ethical practice, a commitment to working with and learning from colleagues, working effectively with diversity and inclusivity and a commitment to continuing reflection on professional practice.

(g) Lifelong learning: The University encourages Faculties/Schools and other academic units to develop courses and adopt teaching methods which foster life-long learning.

(h) Sanctifying ordinary work: Sanctification of ordinary work is like a hinge on which the whole spiritual life of the ordinary Christian turns. Sanctifying work means carrying it out with the greatest possible human perfection (professional competence) and Christian perfection(for love of God and as a service to humanity).According to the spirit of Opus Dei, work- the activity one carries out in the world- can be sanctified and turned into a path of sanctification. Study and teaching are the ordinary work for students and lecturers respectively.

(i) Teaching virtues in the classroom: The human virtues enable students to behave as good human beings. It is not sufficient merely to want them to have these

104 virtues. They have to learn how to practice them. They need to make a habit of exercising each virtue, by actually being sincere, truthful, honest, balanced, tidy, calm and patient. The University sees the importance of the lecturer being a role model and a moral mentor for the students. The University needs teachers dedicated to the integral formation of their students - with a clear concept that education has to respond to the needs and demands of the human person - the intellectual, aesthetic, technical, moral and religious demands and needs.

STATUTE XLIII: eLEARNING POLICY

1. The University will use eLearning where appropriate to support the achievement of its goals in providing learner centred student experiences that are flexible, responsive and effective and meet the needs of all its learners and partners. eLearning will be used to innovate both learning and its delivery and will be delivered making effective and efficient use of all resources whilst maintaining the quality standards the University is committed to.

2. The Principles of the eLearning Policy

(a) To provide students with eLearning resources that are engaging and which encourage the pursuit of higher learning.

(b) The University will implement an appropriate and sustainable institutional model for the support and development of eLearning activities across campus. (c) The University will promote a blended learning model in which eLearning enhances the student experience by complementing face-to-face interactions between students and academic staff, and by supporting flexible learning and different learning styles.

(d) The University will promote the appropriate use of technologies for efficient and effective forms of both formative and summative assessments.

(e) The University will encourage growth in interactive communities of learners and teachers using appropriate technologies.

(f) The University will deploy technologies that enhance existing feedback mechanisms in order that students can be updated on their own learning progress and that teaching is informed by student feedback.

(g) The University will use technology to facilitate flexible approaches to learning and assessment that meet the educational needs of a diverse student population.

(h) To develop the University as a centre for research into the use of eLearning and innovative practice.

105 STATUTE XLIV: POLICY ON CURRICULUM DEVELOPMENT AND REVIEW

1. The aim of the University is to offer excellent and lifelong learning opportunities to a wide spectrum of students. The University promotes a learning culture that enables students to acquire integral education that encompasses a sound grasp of their chosen discipline and developing their intellectual capacities and transferable personal skills, in order that they may graduate as responsible and productive members of society.

2. The University recognizes that it is accountable to the learners, parents and sponsors, government and industry, and to society at large. The objective is to produce graduates who apart from having a broad and sound knowledge of content also possess the capability not only to provide professional expertise to satisfy the needs of the country, but also possess the passion and skills needed to create jobs and employment by engaging in entrepreneurial ventures. The University must produce graduates capable of leading change in the business and public sectors through the influence of their professional work and human qualities.

3. The University encourages active adoption of innovative approaches of curricula design that are aimed at equipping learners with the necessary skills to access and manage knowledge rather than just assimilate knowledge.

4. Guiding Principles

(a) The development and review of curricula in the University shall take into account the mission and vision of the University, the educational philosophy of the University, national educational policies and the social economic environment within which graduates will work.

(b) Learning outcomes should be explicitly stated for each course or programme and these should be the pivot around which the whole program is developed.

(c) The curriculum should provide a base for a broad and all-round education which integrates academic excellence, humanistic education and entrepreneurial education. The curricula should help the learner develop a passion for truth, personal freedom, moral integrity and service.

(d) Analysis of the surrounding educational environment is a key feature of curriculum development. Before a program is designed the needs of the learners and society should be ascertained. Educational market analysis will provide information on the skills needed and the industry trends on employability. Stakeholders should therefore be co-developers of a curriculum. These normally include current and past students, academics, professional bodies, practitioners, and employers in both the private and public sector.

(e) Reviewing processes should be part of a curriculum plan in order to accommodate new ideas and knowledge. Such changes should be informed by

106 innovations in learning and teaching technologies as well as advancements in a particular subject or discipline.

5. Policy

(a) Academic units (schools, faculties, institutes) have the primary role in the curriculum development process and are responsible for the development and maintenance of curriculum and teaching programs. They shall observe the rules and regulations described in the Guidelines for Curriculum Development and Review.

(b) Learning and Teaching Services Office shall prepare and make available to faculties/schools and other academic units, detailed guidelines for curriculum development and review.

(c) While the primary responsibility for course and curriculum development and review rests with the academic units, the collegial process in the University ensures open discussion of curriculum issues. The Faculty Boards should present all the undergraduate curricula and policies to the Academic Council for approval after being passed by the University’s Curriculum Committee; while the Board of Graduate Studies should recommend all graduate policy and curricula to the Academic Council for approval.

(d) As part of the process of designing and developing curriculum for a new program, the responsible faculty/school/institute must conduct an extensive market assessment survey to determine the need for the program, andthe competitive advantage the program is likely to have in the education market place.

(e) In developing and reviewing curriculum, faculties/schools/institutes and other academic units should consult widely with current students, alumni, potential employers, academics from other institutions as well as professionals in both private and public sectors.

(f) In planning curricula, faculties/schools/institutes and other academic units should take into account the internationalisation goals and strategies of the University, and the educational and employment needs in the East African Community region.

(g) In the development of curricula faculties/schools/institutes and other academic units should specify clearly the aims as well as the learning outcomes of the program. This will facilitate the identification of specific outcomes for various courses and modules in the program. The learning outcomes should be aligned to assessment and should include knowledge and understanding of the subject, cognitive skills, core professional skills, as well as personal attitude and generic skills.

107 (h) Curricula should be learner-centred and describe content, skills to be mastered, teaching methods and learning activities, forms of assessment, course texts and other teaching materials.

(i) Apart from specifying the core course units/modules in the program, undergraduate curricula should include the University’s compulsory humanities and ethics course units, as well as required course units in entrepreneurship, information technology, accounting and management; and humanities and language electives. All undergraduate curricula should require the learner to undertake a research project and write an undergraduate dissertation as part of the study programme.

(j) Undergraduate curricula should require learners to undergo two types of attachment/internship as an integral part of their study programme at the University: community attachment, to provide the students with an opportunity to learn as they serve; and industrial internship to provide the students with the opportunity to learn as they work.

(k) Graduate curricula should include at least one course unit dealing with ethics and professionalism. All graduate curricula should require learners to undertake research and write a dissertation or thesis as part of the study programme.

(l) A faculty/school/institute proposing a program is required to identify and demonstrate access to adequate and appropriate academic resources necessary to support the new program for at least the first two years of study. Provision of academic resources for the subsequent years should be demonstrated as the program progresses. In addition the faculty/school/institute is required to provide a quality assurance and enhancement plan to demonstrate how quality will be assured and continuously improved in the teaching and learning process, in the provision of learning resources and in the learning environment.

(m) All curricula for new programs presented to the Academic Council for approval must be accompanied with the following reports:

i) A market assessment report ii) Academic quality assurance and enhancement plan iii) Academic resources required to support the program iv) A business case and implementation plan for the program

(n) Before a program is mounted, the concerned faculty/school/institute or other academic units should present a summary of the approved curriculum accompanied with a detailed business case and implementation plan to the University Management Board for approval.

(o) Regular review of curricula should be standard practice in every faculty/school/institute and other academic units. Given the rapid pace of

108 change in higher education, annual reviews of curricula should be carried out using feedback from student achievement and progression, student evaluation, peer reviews and external examiners. Comprehensive reviews of the curricula should be undertaken every five years and the reviews should cover the program’s stated aims and learning outcomes, the teaching and learning processes, assessment strategies, core subject skills, professional and generic skills development, learning and teaching resources. The review should also take into account developments in higher education and in the academic market place as well as changes in the employment market.

(p) Deans of faculties/schools/institutes as chairs of their respective Faculty/School/Institute Boards are required to report to the Academic Council on a regular basis in respect of the development and review of curricula in the respective units.

STATUTE XLV: RESEARCH PHILOSOPHY OF THE UNIVERSITY

1. Research in Strathmore University must be relevant to the general benefits of society, as well as for specific intellectual purposes. It should be used to increase knowledge in ways that do not harm society or degrade the human person. Furthermore there should be mutual reinforcement of teaching and research, where all teaching in the University has a base in the creative experience of scholarly and scientific inquiry.

2. The University is committed to cultivating a culture and tradition of excellence in both fundamental and applied research. The University will develop research over a broad range of disciplines, while at the same time laying special emphasis on those areas of research where it can excel and contribute effectively to the service and development of society.

3. The University will nurture interactive entrepreneurial collaboration with industry and business enterprises to engage in applied research and innovation whose results can be converted to goods and services in the outside community. This collaboration is expected to culminate in the transfer of research results to the private sector through enterprise development and business incubation.

4. The University recognises that research flourishes in an atmosphere of academic freedom. Individual researchers are expected to assume direct responsibility for intellectual and ethical quality of their work. Researchers must remain aware of the consequences of their research activity; and the researcher must balance the possibility of harmful application against potential benefits. In all cases, the University expects the researcher to respect and uphold the principle of unity of faith and reason which forms the basis of the ethical norms which guide teaching and research in the University.

5. Research in the context of the University’s assertion that the quality of teaching rests on sound and relevant research encompasses the following:

109 (a) Discovery, dissemination and interpretation of new knowledge; (b) Reinterpretation of existing bodies of knowledge; (c) The application of principles from existing bodies of knowledge to describe or solve new problems; (d) The invention and generation of ideas, images, designs, where these lead to new or substantially improved insights or presentations; (e) The use of existing knowledge to produce new or substantially improved materials, devices, products or processes; (f) Reflection on current practice by practitioners.

6. All research undertaken by any member of the University must abide by the Research Policy of the University.

STATUTE XLVI: ACADEMIC STAFF DEVELOPMENT POLICY

1. Strathmore University is committed to a working environment where professional improvement is seen as a continuous process and which enables all members of staff to develop their professional skills and effectiveness in support of the goals and priorities of the University.

2. Staff development includes everything that is done to maintain and extend the knowledge and skills of staff so that they can contribute fully towards the achievement of goals of the University. Of particular importance for academic staff are continuous development of teaching and research skills, and maintaining currency in the disciplines on which the University’s programs are based. 3. The overall aim of academic staff development is to assist the development of each individual and thereby promote improved performance in support of the University’s goals and priorities. To this end, the objectives of the academic staff development policy and the University’s academic staff development programs are to:

(a) Allow academic staff take responsibility for their continuing professional development;

(b) Link academic staff development and training with the mission, aims and strategic plans of the University

4. Guiding Principles (a) Staff development is relevant to all staff and the whole person;

(b) All academic staff are expected to participate in staff development activities aimed at improving the University’s academic excellence and the effectiveness and efficiency of its operations;

110 (c) Staff development should draw on the skills and knowledge of staff as much as possible;

(d) Reflection, review, feedback and opportunities for learning should form an integral part of everyone’s work experience.

5. Responsibility for Staff Development and Training

(a) The ultimate responsibility for the development of work-related skills and knowledge rests with each member of staff. The effectiveness of any staff development activity depends on the active and purposeful participation of the individuals involved.

(b) The University and specifically the Deans, Heads of Academic Units and other supervisors at all levels, in collaboration with the Executive Director for Human Resources , are responsible for facilitating academic staff development in their areas of responsibility.

6. All new members of academic staff, regardless of seniority, should have an appointed mentor to assist in the induction process. The rationale behind this is that even experienced academics need guidance on the procedures of both the faculty/school/institute and the University.

STATUTE XLVII: QUALITY ASSURANCE AND ENHANCEMENT SYSTEM

1. Strathmore University appreciates that higher education quality is complex and is multi-dimensional because of the many interacting variables such as students, lecturers, facilities, employers, parents, donors etc. Quality management is the continual improvement in quality, productivity and effectiveness obtained by establishing management responsibility for processes as well as output.

2. The University has put in place a quality management system that promotes quality enhancement by identifying and specifying measurable quality indicators to be used for self and external assessment. The quality assurance and enhancement system aims to combine quality compliance with quality enhancement by judging whether there has been an improvement in quality through an evidence based system.

3. The system allows the University to carry out internal self-assessment at program level, institutional level, and quality of the University’s quality assurance system itself. This is to be done by looking out for evidence in functions that affect quality such as admissions, facilities, recruitment and capacity building processes, teaching, learning and curriculum development, student services, examinations, research, among others. Evidence is gathered through internal audits or annual self-assessment, performance appraisal of staff, customer surveys, student experience surveys, benchmarking or destination surveys of students. These functions are grouped into inputs, processes and outputs supported with appropriate controls. A diagrammatic representation of

111 the University’s integrated quality assurance and enhancement system is given as part of Schedule XIV of these Statutes.

4. The University’s policies and procedures for developing and maintaining academic standards and for assessing and enhancing the quality of learning opportunities are determined through its governance and administrative structures. University Faculties and Schools are responsible for their implementation. Faculty Boards are expected to monitor and ensure that the respective Schools do this effectively. Faculty Boards report on the outcomes of this activity to University-level committees in order to inform consideration of University-wide issues or provision, to identify areas of good and effective practice which might be disseminated to other areas of the University and to identify areas of potential weakness where there may be scope for improvement. For details refer to Quality Assurance and Enhancement Policy given in Schedule XIV of these Statutes.

5. The key quality assurance and enhancement procedures benefit from the participation of external peer reviewers invited by the University. Policies and procedures take account of appropriate external reference points and national and international best practice.

6. There is an administrative framework for the development and support of quality assurance and enhancement, for fostering a climate of review and reflection, and for leading and setting targets for enhancement.

STATUTE XLVIII: ICT POLICY

1. The Information and Communications Technology (ICT) resources and services of the University shall be provided for the advancement of the University’s mission and its educational aims. ICT resources include information, technology (hardware, networks, systems software, databases and ICT facilities), applications and personnel.

2. ICT Services and Strategy Committee shall review ICT opportunities, risks and issues and advise the Management Board. The broad functions of the Committee and its composition are specified in Statute XXVII-H.

3. Ownership of ICT resources: To ensure appropriate protection, all major ICT resources (including information, applications and hardware, etc.) should be identified and have a nominated owner. Ownership of ICT resources supporting organizational unit processes will be assumed by appropriate user management while ownership of shared ICT resources will be with the ICT Director. Authorization for access and use of the asset is the responsibility of the owner. While responsibility for implementing security controls over these assets may be delegated, accountability remains with the owner.

4. ICT Department as a custodian: ICT Department is a custodian for shared ICT resources and is responsible for implementing appropriate security controls over

112 these resources on behalf of the owners. In particular, ICT Department is responsible for administering access controls on behalf of and upon the written authority of the owners of the assets.

5. Budgets: Each organizational unit will assess its ICT requirements and priorities and submit a budget to the ICT Services & Strategy Committee for approval. ICT Director will submit ICT requirements and priorities for ICT Department and centrally owned and managed facilities such as shared servers, software, network and facilities.

6. Implementation: Once budgets are approved by the Management Board, the ICT Director will liaise with respective heads of organizational units, Executive Director of Finance, the Procurement Committee and Purchasing section for the acquisition of ICT resources and implementation of ICT initiatives.

7. ICT Management Committee: A committee composed of senior ICT officers will be responsible for reviewing ICT issues and advising the ICT Director. While not being exhaustive, key areas to be dealt with by the committee include; Planning of Infrastructure and related Projects, ICT Risk Management and Security, ICT Innovation for process improvement, ICT Service Delivery and Quality matters.

8. The ICT Department shall ensure that ICT resources and services are made available to students, staff and approved guests at all times and to resolve any interruptions to services within the shortest time possible.

9. Risk management: Owners are ultimately responsible to ensure that ICT resources under them are appropriately safeguarded and properly managed. ICT Director and owners shall carry out risk assessment at least annually and ensure appropriate security controls are implemented to safeguard ICT assets against identified risks. This includes ensuring that an effective business continuity and disaster recovery plan is implemented for all critical ICT resources.

10. All users of ICT resources in the University will be required to observe the ICT regulations, which are shown in Schedule Xof these statutes.

11. Internal and external assurance will be carried out at least once annually and recommendations taken into account in designing and/or enhancing controls to ICT resources.

12. Reporting: ICT Director will report to the University Secretary and will prepare at minimum quarterly reports to the Management Board and/or its committees, such as the Academic Administration & Enhancement Committee, on the progress of ICT initiatives and issues or more frequently reports as circumstances may demand.

113 STATUTE XLIX: INTELLECTUAL PROPERTY POLICY

1. The creation of intellectual works is one of the ways the University fulfils its mission of contributing to the body of knowledge for the public good. Innovations, academic materials, publications and other creations are the natural outgrowth of activities in teaching, research and service. The University shall endeavour to encourage the creation of original works of authorship, and also design business and technological innovations.

2. Strathmore University’s intellectual property policy is intended to embody the spirit of academic tradition, which provides intellectual property ownership to members of the University for their intellectual works, and is otherwise consistent with the Copyright Act, 2001, and the Industrial Property Act, 2001 of the Republic of Kenyafor all matters relating to Intellectual Property in which the University is involved. The University’s policy on copyright ownership and related rights is detailed in Schedule XI of these Statutes.

STATUTE L: EQUAL OPPORTUNITY POLICY

1. Strathmore University is an equal opportunity employer.

2. The University endeavours to admit qualified students into its programs irrespective of their ethnicity, nationality, race, religion, sex or socio-economic status.

STATUTE LI: FINANCE POLICY

1. All funds, assets and property, movable or immovable, that belong to the University shall be managed and utilised by the University Council in accordance with the provisions of these Statutes and the Charter, in such a manner and for such purposes that will promote the best interests of the University.

2. Money belonging to the University shall be kept in University bank accounts with the banks approved by the University Council.

3. Available funds shall be invested in a way that maximizes returns from those funds while maintaining an acceptable level of risk to those funds.

4. All moneys received by the University for special purposes other than recurrent expenditure and endowment shall be used for the special purpose.

5. Quality and timely financial information shall be made available to the University Council and Management Board and other relevant organs of the University in such a way as would facilitate appropriate and effective financial decision making.

114 6. An effective system of internal controls shall be maintained to ensure that appropriate measures are in place to mitigate against all known material risks and safeguard the assets of the University. This includes providing on-going assurance as to the effectiveness of both internal and external controls through on-going review and monitoring of control systems.

7. The financial affairs of the University shall be managed in such a way as to ensure financial viability of the University.

8. Detailed Financial Regulations are shown in Schedule XII of these Statutes.

STATUTE LII: HEALTH AND SAFETY POLICY

1. The University shall observe the following provisions of public health:

(a) The application of relevant by-laws of the Local Authority, the Building Code and the Public Health Act

(b) Ensuring that materials used in buildings, as well as building lighting, ventilation and sound proofing conform to the relevant by-laws and the Building Code

(d) Ensuring safe water supply and waste disposal, as provided for in the relevant by-laws and the Public Health Act.

2. The University shall observe the following provisions of public safety:

(a) Ensuring structural soundness and stability in its buildings through a careful choice of registered and reputable architects, engineers and contractors for its buildings and other civil works.

(b) Ensuring fire safety by using fire resistant materials in its buildings, where possible, providing adequate and well-marked fire escape routes, installing fire protection and fire fighting equipment and providing general awareness in fire safety.

(c) Providing insurance cover against fire, serious injury and other accidents to its employees and students while on official duty within and outside the University.

115 STATUTE LIII: AIDS AND HIV POLICY

1. This policy applies to all staff insofar as their employment with the University is concerned and to all students in the University. It has been compiled in the light of the present situation, current knowledge and Government guidelines, and will be subject to review and amendment in the light of future developments.

2. The University regards AIDS and the medical conditions caused by HIV infection in the same way as any serious illness. The normal University regulations shall apply to all staff and students, with no discrimination against people with AIDS or HIV infection.

3. Any information concerning the HIV status of any employee or student of the University shall be treated as strictly confidential, and it must not be divulged to any third party without the express written agreement of the individual concerned.

4. The University believes that education, fostering moral values and the provision of information to all staff and students constitute the most effective way of combating the spread of HIV/AIDS. Appropriate support and advice will be provided to all employees and students of the University.

STATUTE LIV: STRATHMORE UNIVERSITY PRESS

1. Strathmore University Press (SUP) has been established to further the University’s objective of excellence in research, scholarship and education, through publishing.

2. The Management Board shall determine the manner in which the Strathmore University Press shall exist and operate.

STATUTE LV: RESEARCH CENTRES AND INSTITUTES POLICY

1. There shall be Research Centres and Institutes and such other academic units dedicated to research within the University as the University Council may from time to time determine in accordance with the Charter and these Statutes.

2. The University Council may establish and disestablish within the University such Research Centres and Institutes or other similar entities for research as it may determine from time to time.

3. The University Council may determine from time to time the constitution and administrative arrangements for any such Research Centres and Institutes or other similar entities.

4. The Purpose of Research Centres and Institutes:-

116 (a) University research centres may differ considerably in scope and organization. They may be called centres or institutes; they may be linked to broader consortia or be primarily University based.

(b) The University research centres shall fall under the Office of the Deputy Vice Chancellor for Research.

(c) The University research centres shall play an important role in stimulating and supporting interdisciplinary research on campus and, broadening the knowledge base which leads to new discoveries and ensuring that the University’s innovations are transferred to society in a productive and beneficial manner.

(d) These centres shall also play an important role in educating and training the next generation of researchers and innovators.

(e) The research centres and institutes shall contribute to the educational mission of the University by playing the following roles:

i) Provide a focal point for research strengths, especially where there are links with external users of that research.

ii) Be useful vehicles for stimulating research activities especially research projects that require interdisciplinary, interuniversity and/or interuniversity/industry collaboration.

iii) Provide opportunities to secure substantial additional funding for the University.

iv) Create critical mass of researchers in areas where this is vital, especially when this crosses Faculty, School or Department boundaries. v) Provide a means for the University to maximize return on investment in research.

vi) Foster and promote joint appointments of academic staff in other academic departments across campus.

vii) Offer applied research training opportunities for graduate and undergraduate students.

viii) Provide employment opportunities to students through internships, graduate research assistantships and other employment opportunities to learn while assisting with research and other activities at the Centre.

ix) Disseminate research findings through journal articles, books, monographs and policy briefs.

117 5. General Criteria for Establishment and Review of Research Centres and Institutes:-

(a) The establishment of a Centre can only be justified where the proposed research activities will represent academic endeavour at a high level and be likely to enhance the national and international standing of the University.

(b) The following general criteria shall guide both the development of a proposal for a new University research centre and the annual evaluation of current centres:

i) The focal area should be strategically important to the success of the University.

ii) The Centre should have the potential of transforming the University to become a leader among peer institutions.

iii) The Centre must demonstrate capability of successfully raising funds to support itself.

iv) The Centre should demonstrate ability and willingness to draw talented faculty and students from the schools in the University.

v) The Centre’s research should lead to new curricula development.

vi) The Centre’s work should contribute to the strengthening of the Strathmore “brand”

vii) The Centre should demonstrate capability of influencing others beyond those participating in the initiative itself.

viii) The Centre should demonstrate ability to make an impact on the outside world

6. The University’s Research Committee shall provide guidelines for establishing new centres, put in place procedures for reviewing and evaluating proposals for establishing new centres, and set standards for performance for both new centres/institutes and existing ones. Less productive centres and institutes may be reorganized or closed. Procedures for regular review will be established to ensure that such decisions are informed and timely.

STATUTE LVI: INTERNATIONALISATION POLICY

1. The influence of globalisation and internationalisation on the economic, social, and cultural life of countries has an important influence on the mission of universities in the 21st century. The development of new knowledge in universities has always had universal and international nature, but due to globalization, exchange of knowledge

118 and expertise among universities has become critically important for economic competiveness of countries and businesses at the global level.

2. Strathmore wishes to position itself in the international educational landscape in such a way that it can benefit from current worldwide trends in higher education. To achieve this goal the University needs to enter into productive international partnerships for research and teaching cooperation, the mobilisation of resources and the exchange of knowledge.

3. Definitions

(a) Internationalisation is the process of developing, implementing and integrating an international, intercultural and global dimension into the purpose, functions and delivery of higher education.

(b) International students are students who require a study visa in order to study in Kenya. Students who come from the East African Community countries do not require a study visa to study in Kenya. They will be referred to as regional students.

(c) International staff are staff that require a work permit in order to work in Kenya. Staff from the East African Community countries do not require a work permit to work in Kenya.

4. Policy Guidelines

(a) The University believes that maintaining contacts with good institutions internationally ensures that the University has opportunity to keep up to date with internationally accepted best practice. The University views international students and staff and international relations in terms of its teaching and research as enriching the institution, the school and the individual and therefore should be encouraged.

(b) All decisions regarding the curriculum, cooperative teaching and research agreements, staff and student exchange, shall be guided by considerations of both academic excellence and educational philosophies of the partners in the agreement.

(c) Internationalisation in the University must be aligned with relevant University policies such as those on teaching and student learning, curriculum development, quality assurance, research development, recruitment and selection of staff, and staff development.

(d) Special attention shall be paid to developing relations with institutions in the East African Community countries and to endeavour to provide quality and affordable university education to students from the region. Participation in important regional initiatives by Inter University Council for East Africa (IUCEA)

119 on quality assurance, joint research projects, harmonization of curricula and credit transfer provides a practical avenue for developing relations with universities in the region.

(e) International staff and students shall be integrated as far as possible into the daily life of the University.

(f) The University will endeavour to follow international best practice in the development of its academic programs, in the review of curricula, in the assessment of courses offered, and in the choice of teaching methods.

(g) The University will make every effort to facilitate international research links and to provide staff with the opportunity to work with international colleagues on research programs of mutual interest and benefit to the staff and the partners involved.

(h) The University encourages partnership agreements with institutions outside Kenya when there are demonstrable mutual benefits to all the partners in the agreement.

5. There shall be International Relations Office whose role shall be to implement, monitor and regularly review the University’s internationalization strategy. The Office will also serve as a contact point and support for international students, staff and visitors.

STATUTE LVII: DATA PROTECTION POLICY

1. Purpose

Strathmore University processes information about its staff, students and other individuals for a variety of purposes. When processing information, the University is committed to protecting the rights and privacy of students, staff and others in compliance with all applicable legislation. This Policy sets out the principles that will apply in meeting this commitment.

2. Application of Policy

(a) The Policy provides various safeguards relating to the management of individuals’ personal data. It places a number of obligations on the University to ensure personal data is managed effectively and lawfully.

(b) In this Policy “personal data” is defined as any data at all that relates to a living individual who can be identified from it. This includes name, address, telephone number, id number, personal images and audio recordings as well as text; also includes expression of opinion about the individual.

120 (c) “Data subject” is used to describe any living individual who is the subject of personal data held by the University

(d) The term “processing” is used to describe any action taken in relation to personal data, such as for example obtaining, organising, recording, accessing, adding to, merging, holding, adapting, retrieving, altering, disclosing or destroying.

(e) The Policy and the Data Protection Principles apply to all staff, students and agents of the University, including those who process personal data off-site.

(f) All personal data collected, held and processed on computer, on-line as well as in structured manual files is subject to this Policy and to the Data Protection Principles.

(g) Examples of the purposes for which data is processed by the University include but are not limited to: recruiting and paying staff, administering programs of study, recording student progress, calculating and approving awards, collecting fees, and complying with legal obligations to funding bodies and government.

3. Compliance with Policy

(a) The executive management group, Deans of Faculties/Schools/Institutes and Heads of Departments and others in managerial or supervisory roles, are responsible for ensuring adherence to this Policy.

(b) A breach of this Policy may constitute a disciplinary offence for either staff or students and may bring into effect the relevant disciplinary procedures. Other agencies and individuals working with the University, and who have access to personal information processed by the University, must also comply with this Policy.

(c) Departments and academic units that interact with external agencies are responsible for ensuring that such agencies agree to abide by this policy.

4. Data Protection Principles

The University is committed to complying with the following Data Protection Principles:

(a) Personal data shall be processed fairly and lawfully.

(b) Personal data shall be obtained for specific and lawful purposes and not processed in a manner incompatible with those purposes. Personal data should only be obtained if there is a clear purpose or purposes for which it will be used, and must not then be used for a different purpose.

121 (c) Personal data shall be adequate, relevant and not excessive in relation to the purpose for which it is held. Only the information needed for a specific purpose should be collected. If data are given or obtained which are excessive for the purpose, they should be immediately deleted or destroyed.

(d) Personal data shall be accurate and, where necessary, kept up to date. Data that are kept for a long time must be periodically reviewed and updated as necessary. Data should not be kept unless it is reasonable to assume that they are accurate. Members of the University are responsible for ensuring that any personal data they supply to the University are accurate and up-to-date.

(e) Personal data shall be kept only for as long as necessary. Personal data should not be kept for longer than the data are required for the purpose for which the data was originally obtained. Personal data must, however, be disposed of in a way that protects the rights and privacy of data subjects (e.g. shredding, disposal as confidential waste, secure electronic deletion).

(f) Personal data shall be processed in accordance with the rights of data subjects under applicable legislation. Personal data should not be disclosed to third parties except in circumstances permitted or required by applicable legislation or with the consent of the individual concerned. In most cases, this consent should be provided in writing. Further guidance on how to respond to requests from third parties for the disclosure of personal data is set out below.

(g) Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of data. All staff are responsible for ensuring that any personal data that they hold are kept securely.

(h) Personal data shall not be transferred to a country outside Kenya unless that country ensures an adequate level of protection for the rights and freedoms of data subjects in relation to the processing of personal data.

5. Disclosure of Data

(a) The University will ensure that personal data are not disclosed to unauthorised third parties which includes family members, friends, government bodies, and in certain circumstances, the police.

(b) Personal data may be disclosed only where at least one of the following conditions apply:

i) the individual has given his/her written consent;

ii) where the disclosure is in the legitimate interests of the University (e.g. disclosure to staff -personal information can be disclosed to other

122 University employees if it is clear that those members of staff require the information to enable them to perform their jobs);

iii) where the institution is legally obliged to disclose the data (e.g. CUE returns, HELB returns, disadvantaged groups and disability monitoring);

iv) where disclosure of data is required for the performance of contract (e.g. informing a student’s sponsor of course changes/withdrawal etc.) Explicit consent must be obtained when processing sensitive personal data.

(c) Disclosure is permitted without consent if the information is requested for one or more of the following purposes and the purpose is supported by clear evidence:

i) to safeguard national security;

ii) to prevent or detect crime including the apprehension or prosecution of offenders;

iii) to assess or collect tax , HELB loans etc.;

iv) to discharge regulatory functions (includes health, safety and welfare of persons at work);

v) to prevent serious harm to a third party; vi) to protect the vital interests of the individual, this refers to life and death situations.

6. Detailed guidelines for handling personal data are given in Schedule XVI of these Statutes.

STATUTE LVIII: INTERPRETATION OF THESE STATUTES

No provision of these Statutes shall override the provisions of the Charter.

123

SCHEDULES

124 SCHEDULE I: FUNCTIONAL AND CORPORATE STRUCTURE OF THE UNIVERSITY

A: Governance Structure of the University

University Council

Committees of the Council

Management Board

Committees of the Management Board

Academic Council

Committees of the Academic Council

Faculty/School/Institute Boards

Committees of the Faculty Board

Departmental Boards

Departmental Committees 125 B: Functional Structure of the University

VICE CHANCELLOR’S OFFICE

Administration, Academic & Finance, Planning Student Research & Operations Affairs Division Division Division

Research Graduate International Administration Studies and Relations Academic Faculties Student Library Strategy and Research Administrati and Affairs Quality on Schools Assurance

Finance Estates and University ICT Human Advancement Physical Services Services Resources and Alumni Planning Relations

Communication and Legal & Governance University Services Relations 126 C: Corporate Structure of the University

UNIVERSITY COUNCIL

VICE CHANCELLOR Chief Int. Audit & Compliance Officer

Officer Executive Manager

DVC Director Director University Academic & DVC Communication Legal Secretary Student Affairs Research and University &Governance Relations Services

127 C-1: Administration, Finance, Planning & Operations Division

Division UNIVERSITY SECRETARY

Executive Manager

Executive Executive Director of Executive Director Executive Director Director Estates Director ICT Director Advancement Finance & Physical University Services Human &Alumni Planning Services Resources Relations

128 C-2: Academic & Student Affairs Division

DEPUTY VICE CHANCELLOR FOR ACADEMIC & STUDENT AFFAIRS

Deans of Faculties, Head of University Director Strategy Dean of Registrar Schools and Students Librarian and Quality Students Institutes Mentoring Assurance

129 C-3: Research Division

DEPUTY VICE CHANCELLOR RESEARCH

Dean of Dean of the School of Directors of Director of Research Graduate Studies Research Institutes International Relations

130 C-4: Finance Department

FINANCE DEPARTMENT

HEAD: EXECUTIVE DIRECTOR

Financial Management Grants and Project Treasury and Tax Credit Accounting Accounting Management Investment Management Control Management Head: Manager Head: Manager Head: Manager Head: Manager Head: Manager

Head: Manager

131 C-5: University Services Department

UNIVERSITY SERVICES

HEAD: EXECUTIVE DIRECTOR

Administrative Catering Services Health Services Accommodation Cleaning Services Services Services

Head: Director Head: Manager Head: Director Head: Manager Head: Manager

132 ` C-6: Human Resources Department

HUMAN RESOURCES

HEAD: EXECUTIVE DIRECTOR

Business Partner Business Partner Payroll Personnel Services Academic Departments Service Departments Services

Head: Manager Head: Manager Head: Manager Head: Manager

133 C-7: Advancement and Alumni Relations Department

ADVANCEMENT & ALUMNI RELATIONS

HEAD: EXECUTIVE DIRECTOR

Advancement Community Alumni Relations Outreach Program Head: Manager Head: Manager Head: Manager

134 C-8: Academic Administration Department

ACADEMIC ADMINISTRATION

HEAD: REGISTRAR

Admissions Learning and Student Financial Examinations Academic Services Teaching Services Aid Services Registry

Head: Director Head: Director Head: Manager Head: Manager Head: Manager

135 D: Committees of the University Council

UNIVERSITY COUNCIL

Fundraising Audit Human Resource Oversight &External Finance &Compliance Policy Committee Relations Committee Committee Committee Committee

136 E: Committees of the Management Board

MANAGEMENT BOARD

Academic Quality Staff Human Budget Advisory Investment ICT Services & Procurement Administration Assurance Appointment Resource Committee Committee Strategy Committee & Enhancement Steering Committees Committee Committee Committee Committee

137 F: Committees of the Academic Council

ACADEMIC COUNCIL

Curriculum Student Student Library Advisory Student Research Timetabling Committee Disciplinary Grievance Committee Committee Affairs Committee Committee Committee Committee on Student Committee Financial Aid

138

SCHEDULE II: APPOINTMENT OF PRINCIPAL OFFICERS

1. Definition

For the purpose of these regulations, the principal Officers of the University shall be the Vice-Chancellor, the Deputy Vice-Chancellors, the University Secretary and Principals of Constituent Colleges of the University.

2. Appointment of the Vice-Chancellor

2.1. The Vice-Chancellor shall hold office for five years on initial appointment, which may be extended by reappointment for further terms of five years or less, except when a Vice-Chancellor vacates the office before the expiry of his or her full term of office and at a time other than the end of the academic year, his or her successor's period shall consist of the remainder of that academic year and five further years, which may be extended by reappointment for additional terms

2.2. Any person shall be eligible for appointment as Vice-Chancellor if he or she can serve the full period permitted under regulation 2.1 above before reaching the retiring age as prescribed by the regulations for University Employees.

2.3. Not less than one year before the term of office of a Vice-Chancellor is due to come to an end a Search Committee shall be constituted and mandated to consider a suitable person for the post of Vice-Chancellor of the University. The Search Committee shall report to the University Council with a recommendation either that the current Vice-Chancellor be reappointed for another term of five years, or that another, named person, be appointed as the next Vice-Chancellor.

2.4. Search Committee Composition (a) The Chairperson of the University Council (b) Two members of the University Council (c) Two Professors appointed by the University Council who are not members of the Council

2.5. Role of Search Committee (a) To review the position of the Vice Chancellor (b) To establish the qualification and qualities desired of the candidates (c) To search for possible candidates through a head hunt or other suitable means (d) To establish a short list of candidates (e) To recommend a prioritized ranking of short listed candidates to the full University Council

139 2.6. The Search Process

The search will be conducted in accordance with the principles established by the University Council guided by Statute VI and this Schedule. The Process will include the following steps:

(a) Search for qualified candidates: The Committee shall consider the essential qualifications as listed under Criteria for Selection (see clause 2.7 below)

(b) Obtain any information deemed relevant concerning the candidates and nominees.

(c) The Committee can, through means it deems appropriate, approach candidates and ask if they agree to be considered for the position.

(d) Establish a short list of candidates believed to be the best for the position and meet with each of the candidates

(e) After the interviews are completed, the Chair of the Committee recommends a prioritized ranking of not more than three short-listed candidates to the University Council.

2.7. Criteria for Selection

The selected person should demonstrate the following capabilities: (a) Should be of the rank of a University Professor

(b) Knowledge of, and / or strong evidence of interest in Strathmore as a leading University in Africa

(d) Academic excellence, exposure to the higher education system in the country and abroad, and adequate experience in academic and administrative governance

(e) Commitment to promoting and sustaining excellence in research and teaching

(f) Ability to provide an inspirational and effective leadership in the University

(g) Ensure effective financial management and secure a financial base sufficient to allow the delivery of the University’s mission, aims and objectives

140 (h) Knowledge of Strategic Management and ability to set strategic direction

(i) Ability to articulate and implement a clear strategic vision for the University

(j) Ability to demonstrate commitment and personal motivation and potentially inspire others to do likewise

(k) Ability to develop relationships and increase collaboration with industry, key external organisations and communities.

2.8. If, for any reason, there is no Vice-Chancellor-elect, an Acting Vice- Chancellor shall be appointed under the provisions of regulation 3 below, until such time as a new Vice Chancellor is appointed.

3. Acting Vice-Chancellor

3.1. In the event of incapacity or long absence from the University of the Vice- Chancellor, or in the event of a vacancy in the vice-chancellorship, one of the Deputy Vice-Chancellors or the University Secretary shall be appointed Acting Vice-Chancellor.

3.2. The appointment shall be made:

(a) by the Vice-Chancellor if the incapacity or absence is unlikely to be longer than two months;

(b) by the University Council if the incapacity or absence is likely to take longer than two months, or after an appointment under 3.2(a) has lasted for two months or in the event of a vacancy in the vice- chancellorship.

3.3. An Acting Vice-Chancellor shall have all the functions and powers of the Vice-Chancellor, subject to the provisions of the Statutes.

3.4. If the incapacity or absence of the Vice-Chancellor lasts for more than six (6) months, the University Council shall constitute a Search Committee as per clause 2.3 above and start the process of appointing a new Vice-Chancellor.

4. Deputy Vice-Chancellors and University Secretary

4.1. The Deputy Vice-Chancellors and the University Secretary shall hold office for a period of five (5) years renewable, provided that the person appointed to this position shall not have reached the mandatory retirement age.

4.2. The procedure to be followed in appointing the Deputy Vice-Chancellors or the University Secretary shall be determined by the University Council.

141

5. Principals of Constituent Colleges

5.1. Principals of Constituent Colleges shall hold office for a period of five (5) years renewable, provided that the person appointed to this position shall not have reached the mandatory retirement age.

5.2. The procedure to be followed in appointing Principals of Constituent Colleges shall be determined by the University Council.

6. Removal from Office

6.1. The University Council may remove the Vice-Chancellor from office for good cause as follows:

(a) A petition seeking the removal of the Vice-Chancellor for good cause may only be made by three or more members of the University Council to the Chairperson of the Council.

(b) If it appears to the Chairperson of the University Council that there is a prima facie case which could, if proved, constitute good cause for removal of the Vice-Chancellor from office, he or she shall request the University Council to appoint a tribunal to hear and determine the matter.

i) A Chairperson, who shall not be a member of the Council or a person employed by the University. The Chairperson must be a person who holds or has held the office of Vice-Chancellor or Deputy Vice-Chancellor in a reputable University, whether public or private, and possesses substantial experience in the management and administration of universities. ii) One member of the University Council, not being a person employed by the University. iii) One professor of the University.

(d) Subject to the principles of justice and fairness, and the disciplinary and complaint procedures established by the University Council, the tribunal may determine its own procedure, and that will include asking the Vice- Chancellor to appear before the tribunal.

(e) Where a prima facie case regarding the Vice-Chancellor is to be referred to a tribunal, the University Council may suspend the Vice- Chancellor from his duties and may exclude him or her from the

142 precincts of the University or any part thereof, but without loss of salary.

(f) Where a charge or charges have been upheld by the tribunal, and not dismissed on appeal, the University Council shall decide whether or not to remove the Vice-Chancellor from office.

6.2. If a Deputy Vice-Chancellor, the University Secretary or a Principal of a Constituent College becomes of unsound mind or is found guilty of gross misconduct, he or she shall be removed from office by the University Council in accordance with the established disciplinary procedures for University staff.

7. General Terms and Conditions of Service

Without prejudice to the terms and conditions given in this Schedule, the general terms and conditions of service given in Schedule VI shall apply.

143 SCHEDULE III:M.O.U. BETWEEN OPUS DEI PRELATURE AND STRATHMORE EDUCATIONAL TRUST

In this Memorandum of Understanding (M.O.U.), the following terms, unless otherwise specified, shall have the meanings stated hereunder:

SET Strathmore Educational Trust, Registered Trustees, a charitable trust and the owner, in trust, of the properties of Strathmore University, incorporated in Kenya under the Land Perpetual Succession Act, with offices at Mzima Springs Road, Nairobi. The postal address is:

Strathmore Educational Trust

P.O. Box 25469, 00630 Lavington,

Nairobi, Kenya.

Opus Dei The Kenya regional circumscription of the Prelature of the Holy Cross and Opus Dei, a worldwide Personal Prelature of the Catholic Church, with offices at Peponi Road, Nairobi. The postal address is:

Prelature of the Holy Cross and Opus Dei

P.O. Box 25467, 00630 Lavington,

Nairobi, Kenya.

Chancellor The person identified by the Charter as Chancellor, who shall be the Prelate or head of Opus Dei at any given time.

Pro-Chancellor The person identified by the Charter as Pro-Chancellor, who shall be the Regional Vicar or head of Opus Dei in Kenya at any given time.

University Strathmore University, a non-confessional not-for-profit university with a Christian ethos established under the Charter

144 University Council Body established by the Charter to govern Strathmore University and promote its foundational aims.

SET, represented by its Chairman, Dr. Caesar Mwangi, and Opus Dei, represented by the Pro-Chancellor, Rev. Fr. Silvano Ochuodho, hereby agree:

(1) SET desires that the education given by Strathmore University be carried out with high professional, moral, human and spiritual standards in a free and responsible environment.

(2) In pursuit of the goal stated above, SET does hereby entrust to Opus Dei the spiritual care and Christian orientation of the University.

(3) In accordance with the University Charter, the Chancellor shall discharge his duties in person or through the Pro-Chancellor.

(4) The Pro-Chancellor shall appoint the University Chaplain and any Assistant Chaplain of the University. He shall also give his consent to the appointment of senior academic and management staff.

(5) The appointment of the members of the University Council and the Management Board shall be made after consultation with the Chancellor through the office of the Pro-Chancellor.

(6) The validity and effects of this Memorandum of Understanding shall commence on the date of adoption of these Statutes and shall remain valid in perpetuity unless otherwise established by the Parties.

IN WITNESS Whereof the Parties have caused common seal to be hereto affixed and have hereunto set their hands the day and year herein above written.

…………………… ……………………………………….

SET Chairman The Regional Vicar of the Prelature of Opus Dei

…………………... Witnessed by:

145 SCHEDULE IV: ACADEMIC STAFF CATEGORIES

Job Grade & Minimum Academic Qualifications Classification

SUA 7 Education: Bachelor’s degree with Honours plus a Master’s degree Professor and a PhD degree in an area of strategic focus and recognized by the Academic Council of the University.

Teaching Experience: At least 10 years in teaching and content development at university level; at least one university level text book; demonstrated leadership in the scholarship of teaching.

Research Experience: At least 6 publications in area(s) of specialisation in reputable journals since becoming Associate Professor; Experience in research administration and sourcing for research funding; Experience in supervision of doctoral theses; Experience in coordinating and conducting advanced research activities that are published.

Professional Experience: Member or fellow of a relevant professional body; Wide experience in contract research and consultancy.

SUA 6 Education: Bachelor’s degree with Honours plus a Master’s degree and a PhD degree in an area of strategic focus and recognized by Associate Professor the Academic Council of the University.

Teaching Experience: At least 8 years in teaching and content development at university level; experience in conducting and coordinating activities supporting the scholarship of teaching.

Research Experience: At least 6 publications in area(s) of specialisation in reputable journals since becoming Senior Lecturer; Experience in supervision of doctoral theses; Experience in conducting advanced research activities that are published.

Professional Experience: Member or fellow of a relevant professional body; experience in contract research and consultancy.

SUA 5 Education: Bachelor’s degree with Honours plus a Master’s degree and a PhD degree in an area of strategic focus and recognized by Senior Lecturer the Academic Council of the University.

Teaching Experience: At least 4years teaching as a Lecturer at

146 university level; Experience in content development and delivery; Experience in activities supporting scholarship of teaching.

Research Experience: At least 4 publications in area(s) of specialisation in reputable journals since becoming a lecturer; Ability to coordinate and supervise master’s theses and dissertations and undergraduate research projects; Experience in conducting research activities that are published.

Professional Experience: Member or fellow of a relevant professional body.

SUA 4 Education: Bachelor’s degree with Honours plus a Master’s degree and a PhD degree in an area of strategic focus and recognized by Lecturer the Academic Council of the University.

Teaching Experience: Ability to teach and develop content for university level courses; Prior experience in teaching university level courses; Ability to undertake activities supporting the scholarship of teaching.

Research Experience: Ability to conduct research, coordinate and supervise student research projects and masters theses and dissertations; A minimum of three published papers in the area of thesis research.

NOTE: Job Grades SUA1- SUA3 are pre-career training grades reserved for Teaching Assistants, Graduate Assistants and Doctoral Fellows.

147

SCHEDULE V: MANAGEMENT & ADMINISTRATIVE STAFF CATEGORIES

Job Grade Qualifications ,Experience and Competencies Required

SU 9  Doctorate level qualification (PhD) Vice  20+ years relevant experience with at least 3 years’ experience Chancellor managing a department or division in a large institution / busy environment  Proven competency in strategy development  Proven competency in a front line management position  Ability to drive change  Strong leadership skills, organisation and coordination skills  Demonstrated integrity

SU 8  Doctorate level qualification (PhD) Head Of  11+ years relevant experience with at least 3 years’ experience at a Division senior manager level (Deputy Vice  Experience and competence in the control and training of staff in use Chancellor, of various procedures associated with the operations of a particular University division Secretary)  Prior experience managing a section in a busy environment  Strong leadership and managerial skills  Exceptional planning and organization skills

SU 7  Doctorate level qualification (PhD) (Except for the position of Senior Executive Director, which will require a Master’s degree and a Manager Professional Qualification. Position may require more than 10 years’ ( Registrar, experience) Principal,  9 to 10 years relevant experience with at least 3 years’ experience at a Dean, director level University  Experience in the application of a specialised discipline and Librarian, technology relevant to SU’s requirements Executive  Good people management skills Director)  Results oriented

SU 6  Master’s degree and a Professional Qualification (The position of Director, Associate Dean and equivalent positions will require a PhD) Associate  7 to 8 years’ experience with at least 3 years’ experience at a manager Dean level  Experience controlling SU’s assets, information and supervision of

148 staff and reporting on the same  Excellent analytical skills  Demonstrated supervisory skills

SU 5  Master’s degree or Bachelors and a Professional Qualification Manager  5 to 6 years relevant work experience  Experience in the use of specific type of procedure and data production methods using appropriate technology  Prior experience guiding a unit / others doing similar work  Ability to supervise a team and deliver well under pressure and meet deadlines

SU 4  Bachelor’s degree Administrator  3 to 4 years work experience with at least 1 year in a similar capacity level in a busy environment  Good organisation, interpersonal and communication skills  Ability to guide others / Assistants doing similar work  Good analytical skills  Experience resolving conflicts

SU 3  Bachelor’s degree Assistant  1 to 2 years work experience  Proficiency with relevant office computer applications to maintain databases, record data, etc.  Organisation, interpersonal and communication skills

SU 2  Diploma level training in area of specialisation Support I  1 to 2 years prior experience in a similar job in a busy environment  Computer literacy and familiarity with standard office computer applications.  Good record keeping skills  Well developed verbal, written and communication skills

SU 1  Certificate level training with some degree of specialisation Support II  1 to 2 years work experience (entry level)  Computer literacy  Team playing skills

149 SCHEDULE VI: TERMS AND CONDITIONS OF SERVICE FOR STAFF

I. INTRODUCTION AND INTERPRETATION

(a) The main objective of these regulations is to regulate the rights, duties, privileges and responsibilities of employees in relation to the University.

(b) The standard terms and conditions of service set out in this document will apply subject to the provisions of the Employment Act (2007) of the Laws of Kenya, unless specifically varied in the letter of appointment or by written agreement.

(c) The University Council shall have the power to amend these regulations, subject to the Charter and the Statutes. In so doing, due notice shall be given to all staff.

(d) All references to gender shall apply to all persons unless the context is clearly inappropriate.

(e) The interpretation of these terms and conditions of service shall rest with the University Council.

II. GENERAL TERMS AND CONDITIONS

1. Contracts of Employment

(a) All employment in the University shall be in one of the following forms: permanent terms or contract terms.

(b) Employment by the University, its continuity and termination shall, at all times, be subject to the University’s staffing needs and requirements.

(c) All non-Kenyan citizens seeking employment with the University shall be required to comply with immigration regulations pertaining to work permits and entry visas.

(d) All offers of employment are made subject to receipt by the University of satisfactory references and a satisfactory medical report. The medical report should indicate whether the appointee is fit or not to take up the post. All prospective employees must furnish evidence of their academic and/or professional qualifications applicable to the grade of employment. (e) All employees shall receive written particulars of their terms of employment. This statement, together with a description of the duties attached to the post, shall be issued in a standard University format and attached to the letter of appointment.

150

2. Probation and Confirmation (a) An appointment may be made subject to a limited probationary period, in which case the period (normally not less than 3 months and not more than one year) shall be specified in the letter of appointment and/or statement of terms of employment.

(b) The purpose of the probationary period is to ensure that a new employee is able to gain a full understanding of the requirements of the post he/she occupies and to achieve a satisfactory level of performance within a reasonable period of time.

(c) If an appointment is subject to a probationary period, the progress of the employee shall be reviewed and discussed with him or her normally no later than halfway through the probationary period, in addition to monitoring his/her performance as a new member of staff.

(d) During the probationary period, the University may, at its discretion, terminate the employment on one month’s notice without indemnity. Conversely, during this period the employee may also terminate the employment on one month’s notice.

(e) All employees appointed on permanent terms may be confirmed to their posts after serving the University for a minimum period of two years. The confirmation will be subject to a satisfactory level of performance by the member of staff.

3. Duties and Responsibilities

(a) The letter of appointment shall include details of the duties to be carried out by each member of staff, but these shall not exclude other duties that may be prescribed by the Vice-Chancellor or the Management Board from time to time.

(b) Heads of Departments or Deans of Faculties will be required to ensure the efficient running of their departments, including allocation of certain duties to staff assigned to their departments or faculties.

(c) All employees are bound by professional confidentiality as regards the University’s business. An employee of the University shall be subject to disciplinary action should there be a breach of confidence or of professional ethics.

4. Hours of Work and Punctuality

(a) The number of hours a member of staff is expected to work each week, and the daily hours of attendance within this total (normally within

151 the days Monday to Friday or Monday to Saturday) shall be specified in the letter of appointment.

(b) Staff working less than the normal working week laid down by the University shall receive a rate of pay in proportion (pro rata) to the full time rate of pay.

(d) Owing to pressure of work, some staff may be required to work longer hours. The extent of such additional work cannot be predicted but every effort shall be made to avoid the necessity of working on public holidays.

(e) All overtime must be authorised by the Head of Department prior to working the excess hours.

(f) Employees must also expect to spend extra time on travel when required. In general the University policy on out-of-town jobs is that staff will work the same hours.

5. Performance Assessment/Appraisal

(a) All employees are expected to take part in the Performance Management Appraisal system. Decisions concerning career development, promotion, succession planning and compensation depend on information provided through effective performance management. The assessment of staff on their performance depends on targets set at the beginning of the year, feedback from their immediate supervisors and team members and continuous improvement.

(b) In addition, staff shall be encouraged to complete a self–appraisal form each year and hold a formal discussion with the Head of Department or a nominated appraiser. The objective of appraisal is to improve communication between individual members of staff and those responsible for their management, and thereby increase job satisfaction, motivation and effectiveness, which the University desires.

6. Motorcar Insurance for staff cars

Employees who use their cars on the University’s business should be properly insured against third party liabilities and the University will not be held liable for any claims. Employees who use a car that is not their own on the University’s business are responsible for verifying that the vehicle is properly insured.

152 7. Resolution of Disputes

Any dispute arising between the University and a member of staff regarding the terms and conditions of service shall be dealt with in accordance with the disciplinary and grievance procedures established by the University Council. The member of staff shall have the right to appeal to the University Council, whose decision shall be final, but notwithstanding the applicable laws of Kenya.

III. TRAINING

1. Scholarships

(a) The University is committed to developing the professional skills of its staff and actively encourages employees to keep abreast of current developments in their profession. The University may offer full or partial sponsorship for a relevant course or program to any of its Academic or Administrative staff as may be considered necessary for the advancement of the University’s goals and interests. Such scholarships shall be offered on such terms and conditions as the Management Board shall specify.

(b) However, it shall remain the responsibility of the member of staff in the first instance to seek scholarship opportunities from sources other than the University to advance their academic and career development.

(c) Where a member of staff is granted full or partial scholarship for a period of one year or more, s/he will be bonded for a period to be agreed upon. This bonding period will depend upon the duration and cost of the course. A breach of this bond will entitle the University to reimbursement of the fees plus the salary paid during the sponsorship period on a pro rata basis on the uncompleted period of the bond.

2. Study Leave: See Section VI under Leave and Absence from Work. No. 8.

IV. REMUNERATION AND BENEFITS

1. Basic Salary

The letter of appointment issued to every new employee shall specify the title of the post, grade and commencing salary. Salaries shall be payable monthly in arrears after deducting income tax, loans, advances, pension contributions, National Hospital Insurance contributions, and any other deductions authorised by the employee.

153 2. Housing Allowance

The University shall pay a house allowance to enable the member of staff acquire suitable accommodation. The house allowance will be at a rate approved by the University Council.

3. Salary Reviews

(a) Salary reviews for members of staff will be advised in writing and will take into account the following factors:

i. Work performance and ability ii. General conduct iii. Length of employment with the University iv. Changes in the cost of living v. Results of examinations taken in the year for those staff members covered by the training scheme.

(b) Salary reviews may take place at the beginning of the financial year. For unionisable employees, it will be as per the Collective Bargaining Agreement (C.B.A.).

(c) Salary review will not apply to a member of staff who has given notice of resignation. No salary shall be payable to any employee in respect of any period during which he/she is lawfully detained in police custody or serving sentence of imprisonment.

4. Salaries on Promotion or Upgrading

Members of staff who are promoted to a higher grade will receive a salary increase.

5. Medical Scheme

(a) The University shall provide a medical cover to its employees. In the case of unionisable employees, the medical cover will be subject to the union agreement. The scheme also covers the spouse and children (up to the 22nd birthday) of the employee.

(b) The amount of medical cover shall vary depending upon the grade of the staff member concerned. The category of each staff member's benefits shall be shown in the individual contract. Normally 80% of the medical expenses incurred will be refunded in each calendar year up to the maximum stated in the letter of appointment.

154 6. Provident Fund

(a) All members of staff employed on permanent terms shall be required to join the Staff Provident Fund scheme. (b) Members of staff on contract terms may be paid gratuity at the end of contract. Gratuity shall be paid as an accumulated lump sum on successful completion of the contract. Staff on contract terms may also opt to join any other superannuation scheme approved by the University Council. No person shall be entitled to receive gratuity being a member of the Provident Fund scheme or other scheme approved by the University council.

(c) In case of doubt, the Management Board shall determine, but having regard to the practice of universities generally and the Retirement Benefits Act, the scheme to which a person shall belong.

(d) The Management Board shall exempt from the need to be subject to a scheme any person who is excluded from membership of the appropriate scheme by virtue of age or who is already in receipt of pension from one of the schemes or who submits a written request for exemption.

(e) The Management Board may exclude any person from membership of a scheme if he or she is subject to an alternative scheme approved by the University Council.

7. Personal Accident Insurance

The University will arrange for personal accident cover for all its employees while they are on University business.

8. Salary Advances and University Loans to Staff

The University ordinarily organises for credit facilities with banks and financial institutions to enable staff access loans at an affordable rate. Therefore advances to staff are discouraged; and where advanced, the amount is recoverable in the month in which it is given.

In cases where the University advances loans, interest shall be charged. The rate of interest will be revised periodically to ensure that it is in line with income tax regulations.

9. Special Allowances

(a) Deceased Staff Member: Where a member of staff dies while in the employment of the University, the latter shall pay to the next of kin such sum of money as shall be determined by the Management Board, to assist in covering

155 the burial expenses. In the case of unionisable staff members, the amount shall be as agreed in the C.B.A. This amount may be extended to spouses, children or parents as determined by the Management Board

(b) Travel Allowance While a member of staff is on University business outside its premises, the University shall give an agreed allowance to cover cost of meals. If such business requires the member of staff to spend the night out s/he will be paid accommodation and meals allowance. Outside University premises is deemed to be anywhere outside the 50 km radius from the City Centre of Nairobi.

(c) Acting Allowance In cases where individuals are asked to assume responsibilities of a higher post during periods of extended absence of the post holder, the employing department may authorise payment of acting allowance. The amount of acting allowance to be paid to an officer acting on behalf of another officer who is of higher rank in that department shall be agreed upon between the Human Resources Director and the Head of the Department concerned. In order to qualify for an acting allowance, the appointment should last for at least 45 working days. The individuals concerned shall receive written confirmation of such arrangements.

(d) Long Service Allowance The Management Board may resolve to pay a special allowance, the amount of which shall be reviewed annually, to any member of staff who has completed 25 years’ continuous service with the University. The special allowance is also payable to staff who have completed 25 years’ service in total with the University if they had a break or breaks in service for domestic reasons, provided they have taken no other paid employment in the same time period.

10. Family Education Allowance

The children of full-time members of staff (whether on contract or permanent terms of service) who qualify for admission to a course offered in the University may be given free tuition, provided that the children shall not be older than 24 years of age. This provision may also apply to the spouse of a member of staff, subject to terms and conditions that shall be determined by the University Council. The University may also pay tuition fees of children of members of staff who are admitted to institutions of Kianda Foundation Educational Trust or Strathmore Educational Trust.

156 11. Mileage Claims

(a) Staff may only use their own vehicles for travelling on University business when approval has been given by the Head of Department concerned. Where members of staff have been authorised to use their own vehicles on University business mileage will be reimbursed at a rate agreed by the Management Board from time to time.

(b) All mileage claims will be calculated as if each journey commences from the University even though staff may travel direct from home.

(c) Where it is necessary for more than one member of staff to travel, payment of mileage is restricted to the number of cars necessary to carry the appropriate number of people.

12. Responsibility Allowance

The University may pay responsibility allowance to members of staff who assume additional responsibilities besides their normal work in the University. The amount of the allowance to be paid shall be determined by the Management Board and the member of staff will be notified in writing.

V. ACADEMIC AND PROFESSIONAL DEVELOPMENT

1. Research Grants (a) The University may grant partial funding to members of staff to enable them carry out research, provided that the research being carried out is relevant to the core activities and aims of the University. The amount of the research grant will depend on the nature of the research and the availability of funds.

(b) The University encourages members of staff to seek research funding from alternative sources including industry, local and international research and development agencies.

2. Attendance at Conferences

The University may provide funds to enable members of staff to attend scientific and professional conferences relevant to their areas of competence.

3. Membership in Professional Institutions and Associations

The University may reimburse to some categories of staff the cost of the annual membership subscriptions to professional institutions and associations, provided that the individual concerned is still in University employment when the subscription date falls due.

157 VI. LEAVE AND ABSENCE FROM WORK

1. Leave Entitlement

(a) All staff, unless their contracts of employment indicate otherwise, shall be entitled to annual leave. The number of working days’ paid leave in each year for any member of staff shall be specified in the letter of appointment. For staff with less than one year’s service, the amount of annual leave allowed will normally be calculated on a pro rata basis. Leave accrual begins with the first day of taking up employment with the University.

(b) All staff shall be entitled to the statutory public holidays. Any additional days granted will be notified to staff in advance and will benefit only those staff on duty at the time.

(d) Payment in lieu of leave can only be made at the discretion of the University. Leave pay in lieu cannot exceed half of the total entitlement for each year.

(e) Annual leave shall not be carried forward from year to year, except with the prior consent of the Human Resources Director, and must be taken within the six month period immediately following the date when the entitlement falls due.

(f) If an individual is leaving the employment of the University, any untaken annual leave days or lieu time should normally be taken prior to the last day of employment. When this is not possible, pay in lieu of leave not taken shall be applicable.

2. Maternity and Paternity Leave

All women employed by the University shall be entitled to three (3) calendar months maternity leave with full pay in addition to the annual leave. All married men shall be entitled to 14 working days paternity leave with full pay in addition to the annual leave.

3. Compassionate Leave

The University shall grant compassionate leave to a member of staff on account of bereavement in the immediate family (i.e. deaths of spouse, children, parents and parents of spouse) .The number of days to be granted shall be agreed upon between the department head and the Human Resources Director subject to a maximum of ten days per year.

158 4. Sick Leave

The University shall grant sick leave with full or partial salary to employees who cannot come to work because of illness or injury for such lengths of time and under such terms and conditions as shall clearly be set out by the University Council, provided that the length of such period of sickness does not exceed six months. After the expiration of this period of time, the University shall reserve the right to terminate the employment without further notice.

5. Special Leave of absence

(a) Absence from place of work for periods not exceeding one month may be authorised at the discretion of the Head of Department for a variety of special reasons (e.g. to take part in sporting or social events, to attend to matters of personal business, visit a sick relative, to attend a seminar or conference, to participate in specialised courses, or to make scholarly visits to other institutions).

(b) The Human Resources Director will decide whether absence for these purposes is to be granted as part of leave entitlement, without loss of pay, or whether it will be considered absence without pay.

6. Leave of Absence without pay

The University may grant leave of absence without pay to a member of staff who wishes to take an outside appointment. Such leave may also be granted for other reasons acceptable to the University. Leave of absence without pay shall be given on such terms and conditions as are mutually agreed upon between the University and the member of staff, and shall normally be for a maximum period of two years.

7. Sabbatical Leave

(a) After a minimum of six (6) years continuous service, a senior member of the teaching staff may be granted sabbatical leave at the discretion of the University Management Board. Sabbatical leave may be requested to do research or to undertake further studies or academic work in general. The University will generally grant sabbatical leave for periods of between nine and twelve months.

(b) Terms and conditions upon which sabbatical leave shall be granted to a member of the academic staff shall be mutually agreed upon between the University and the member of staff.

8. Study Leave

159 Study leave will be granted to those employees who are taking a course relevant to their line of duty in the University, on such terms and conditions as shall be determined by the Management Board.

VII GENERAL PROVISIONS

1. Reimbursement of Expenses

(a) The University shall reimburse staff for the expenses they incur on University business. Staff must obtain approval from the Head of Department before incurring any such expenses.

(b) A member of staff may receive an advance of money to cover travel, accommodation or other expenses. Such an advance shall be authorised by the Head of Department, and must be accounted for as soon as possible upon reporting back.

i) By air - Economy class air fare. ii) By taxi - Taxis should not be used indiscriminately where suitable public transport is available. iii) By train - First class fares.

(d) The University may also reimburse senior management staff for any expenses incurred in entertaining University guests.

2. Personal Property

Employees shall at all times be responsible for their own property in the offices.

3. Confidentiality

(a) Unless specifically authorised by the Vice-Chancellor to do otherwise, staff must not disclose any confidential information concerning the affairs or operations or transactions of the University and/or relating to students or their sponsors, or any of its associated firms or companies or any of the directors, to any person other than to an authorised member of the University.

(b) On taking up first employment, all members of staff shall be required to sign the declaration of professional confidentiality.

160 4. Personal Conduct

(a) All members of staff in the University are expected to adhere to a high standard of personal conduct so as to avoid any possible damage to the reputation of the University.

(b) Members of staff are expected to pay particular attention to the University dress code and to ensure that their personal appearance is in keeping with the standards which the University, students, parents/sponsors and members of the public expect. (c) The University attaches great importance to the impression every member of staff makes upon students, upon other members of staff and upon members of the public. Staff must practise good manners and courtesy at all times.

5. Gifts from Sponsors/Students/Others

Where a member of staff receives a gift or benefit of any kind (including a discount) from a client or from any other source connected with sponsors/students or with their firm, the Director of Administrative Services must be notified.

6. Holding outside Appointments

(a) Administrative staff are not allowed to hold outside appointments (consultancies, non-executive directorships etc) unless the Vice- Chancellor has given approval in writing, and after full details have been provided. In granting such approval the Vice- Chancellor may lay down any conditions he considers appropriate in order to preclude any conflict of interest.

(b) Full-time teaching staff may hold outside appointments such as supervision of graduate students in other universities, external examination in other institutions, consultancies, non-executive directorships, etc, provided these activities do not interfere with their teaching activities at the University. An academic member of staff who wishes to be involved in such outside work shall first seek the approval of the Vice-Chancellor.

(c) In all cases, the application to hold an outside appointment must first be approved by the Head of Department. Approval shall not be given for the holding of executive directorships.

7. Agencies

No member of staff shall be allowed to have an agency with suppliers, printers, etc. or with any other organisation without the prior approval of the University Secretary.

161

8. Honorary Work

(a) Approval by the Vice-Chancellor shall be necessary, where any member of staff wishes to perform professional work of an honorary or voluntary nature during official working hours.

(b) The University recognises the need for members of staff in certain cases to carry out work without charging, but the Vice-Chancellor’s approval must be obtained to ensure that the undertaking of such work will not affect the satisfactory performance of duties as required by the University.

9. Working Environment

(a) In order to facilitate the work of other members of staff especially in common working areas, orderly conduct and silence are of paramount importance.

(b) Staff members should use only the equipment they are supposed to or authorised to use according to the specifications of their work. Where a member of staff causes damage of any kind to any equipment, he/she will be obliged to make up such loss to the University.

VIII. TERMINATION OF APPOINTMENTS

1. Applicable categories

Employees will normally leave the University as a result of:

i) Expiry of appointment ii) Termination by the University iii) Resignation by the employee iv) Retirement.

2. Termination by the University

(a) The University may terminate the appointment of an employee in two ways:

i) By giving notice in writing at any time as stipulated in the letter of appointment.

ii) Summary dismissal without notice, if an employee:

162  Acts so as to bring the University into disrepute or is guilty of gross misconduct or is substantially in breach of the terms of his/her employment.

 Engages in any activities that result in the University receiving complaints regarding his conduct from public authorities or the private sector.

(b) A member of staff whose appointment is terminated through summary dismissal shall have the right to appeal to the University Council through the established grievance procedures.

(c) Either side may terminate the appointment without notice upon payment to the other party of the salary, which would have been earned or paid by that other party, as the case may be, in respect of the period of notice required to be given.

3. Resignation by the Employee

An employee may resign at any time by submitting written notice to the Human Resources Office as required by his or her letter of appointment. Any variation of the date of termination outside the terms of the appointment letter may be authorised by the Vice-Chancellor.

4. Retirement

(a) The normal retirement age shall be 65 years for administrative and support staff and 70years for academic staff employed on permanent terms. The University Council may appoint retired professors of the University to the post of Emeritus Professor on contract, if they qualify.

(b) A member of staff who reaches the age of retirement shall be required to cease duty on attaining the age of retirement, unless re-appointed by the University.

(c) A member of staff may choose to retire at any time after attaining the 60th birthday, by giving the amount of notice that would be required to terminate the appointment by ordinary resignation. Eligibility for retirement benefits will be in accordance with the provisions of the pension scheme the member belongs to.

5. Departure Procedures

When leaving the University for whatever reason, employees shall observe the departure procedures prescribed by the University. These shall include, amongst other things, surrendering all University property (office, furniture, equipment, books, and vehicles) and formally clearing with the Executive Director -Finance.

163

SCHEDULE VII: COMMON EXAMINATION REGULATIONS FOR UNDERGRADUATE STUDIES

1. General Requirements

(a) In order to be credited with a course unit, a candidate must have: i. Enrolled for the said course in accordance with the Faculty and University enrolment regulations and paid the required fees.

ii. Attended not less than two-thirds of the classes and completed not less than two-thirds of the assigned coursework for the course unit being examined.

iii. Completed to the satisfaction of the examiners and the Academic Council such oral, practical, written or other tests or assignments as have been prescribed for continuous assessment during the course.

iv. Completed to the satisfaction of the examiners and in accordance with these regulations, any final examination prescribed by the Academic Council.

(b) Candidates will be informed by each faculty/department of the specific requirements for courses in the faculty/department and the extent to which the year’s work will be taken into consideration in assessing final results. No candidate shall be permitted to sit the final examination unless he/she has complied with the requirements set out in this regulation.

2. Continuous Assessment

(a) Heads of teaching departments or Deans of faculties, schools and institutes shall inform students as to the nature of Continuous Assessment (CA) required for each course unit in their department or faculty, school or institute.

(b) Provided that candidates have met the deadlines set for continuous assessment, it is expected that internal examiners will have determined and returned interim or final grades for continuous assessment before sitting the final University examination where one is prescribed.

(c) Continuous Assessment shall include continuous assessment tests (CATs), term papers, project reports, quizzes, laboratory assignments or any other form of academic assessment.

164 (d) All teaching staff are required to give a minimum of two supervised CATs in a given semester plus any other form of continuous assessment. At the end of the semester, each teaching staff shall submit to the Head of Department or the Dean, three CA marks, two from the supervised CATs plus one from any other form of assessment.

(e) Plagiarism in continuous assessment shall be an examination offence.

3. Time of Examinations

Examinations shall be held at the times specified in the timetable each semester. Misreading of the examination timetable will not be an admissible cause for missing an examination.

4. Place of Examinations

(a) All students must sit their examinations at such venues as may be specified by the Academic Council from time to time, in the examination timetable.

(b) Candidates will be admitted into the examination room not less than 25 minutes before the examination starts, and will not turn over the examination paper(s) until the invigilator announces so. All candidates must show their Examination Cards and Student Identity Cards before sitting an examination.

(c) It is the duty of each candidate to ascertain the time and the venue specified for examinations and to present himself/herself for such examinations. A candidate who is permanently or temporarily disabled in a manner which affects his or her ability to undertake examinations under the prescribed examinations conditions may, on production of appropriate recommendations obtained from a medical doctor (which will be subject to approval of the Academic Council), be examined under conditions that take into account his/her particular disability.

(d) Smoking is not allowed in the examination venues.

(e) Wilful disruption of examinations by any candidate constitutes an examination offence. Such disruption includes the disarrangement of furniture in the examination venues.

5. Conduct of Examinations

(a) The examinations shall comprise such written, oral and practical examinations as the examiners may determine, subject to approval by the Academic Council.

165 (b) Mathematical tables and other data books will be allowed into examination venues under conditions prescribed by the internal examiner(s).

i) The calculator used in the said examination must be electronic, truly portable, self-powered, noiseless and non-programmable unless otherwise specifically authorized by the internal examiner.

ii) Audible alarms shall not be used on any devices permitted in the examination room except on the instruction of the internal examiner.

iii) No supplementary material including operating manuals related to the use and operation of the calculator will be permitted in the examination room other than spare batteries.

iv) In all cases, it is the duty of the candidate to maintain the operation and operating power of the calculator.

(d) No candidate shall bring to an examination room any written or printed material, except by the direction of the internal examiner:

i) Where an examination is designated “Open Book”, candidates may take into the examination room any written or printed material including books, Acts, etc. and there will be no check on items taken into the examination room. However, no material taken into the examination room may be attached to the examination script and submitted for marking as part of the examination. The designation “Open Book” must be approved by the Academic Council.

ii) In case an examination is designated “Restricted Book”, candidates shall take into the examination room only materials specified by the internal examiner, and that material shall not be annotated, written or typed upon or otherwise marked. However, no (pre-prepared) material taken into the examination room may be attached to the examination script and submitted for marking as part of that examination. The designation “Restricted Book” must be approved by the Academic Council.

iii) All books, papers and instruments not approved for use in the examination, and personal belongings brought to the examination (venue), must be left in such part of the room, as the invigilator shall direct. All papers used during the examination must be handed to the invigilator before the candidate leaves the examination room.

166 iv) Where material is permitted under i and ii above, the internal examiner(s) will be required to be present at the commencement of the examination to check the material brought into the examination room.

(e) In respect of any examination, no candidate shall be allowed to enter the examination room during the 30 minutes after the commencement of the examination, or to leave the examination venue during the last fifteen minutes of that examination, provided that a candidate permitted to leave the room at any other time hands over his/her scripts to the invigilator before taking such leave. No candidate shall howsoever and whatsoever communicate with another candidate in the examination room.

(f) The chief invigilator shall announce when the candidates should start writing and the time allowed for the paper. Candidates should acquaint themselves with instructions on the front of the answer booklets. On turning over the question paper, candidates must check to ensure they are in possession of the right question paper and any other material as authorized.

(g) No candidate shall continue writing after the invigilator has announced the expiration of the time specified for the writing of the examination. In no circumstances is any time over and above the time allotted to any paper to be allowed a candidate for reading over his scripts or making any amendment or addition to his scripts.

(h) Invigilators shall have powers to confiscate any unauthorised material or aid brought to the examination room, and to expel from the examination room any candidate(s) who create(s) any disturbance(s).

(i) Any complaint that a candidate has committed an examination offence shall be referred to the Student Disciplinary Committee of the Academic Council (to which the Academic Council has delegated power to deal with all matters relating to examinations irregularities). For the purposes of this regulation, an examination offence includes a breach of any rules relating to the conduct of examinations and any dishonest practice occurring in the preparation or submission of any work (whether in the course of an examination or not) which counts towards the attainment of a pass in any course unit.

(j) The Student Disciplinary Committee of the Academic Council (in the exercise of the appropriate powers delegated by the Academic Council) shall hear and determine any complaint on examinations irregularities. The candidate concerned shall be notified in writing by the Deputy Vice-Chancellor for Academic& Student Affairs of the subject matter of the irregularities and the time and place of hearing.

167 He or she shall be invited to submit his/her written answer to the complaint and may attend the hearing.

(k) The Academic Council shall have power (which it may delegate to its Student Disciplinary Committee) to take all or any of the following actions in the case of a candidate found guilty of an examination offence.

i) Impose upon him/her any of the penalties prescribed in the disciplinary regulations. ii) Disqualify him/her from sitting any examination for such period as may be prescribed. iii) Cancel any pass with which he/she may have been credited in the subject or examination in respect of which the offence has occurred. iv) Withdraw any academic award(s) by the University in respect of which an offence has occurred.

(l) Where the Academic Council or any committee of the Academic Council is satisfied that a candidate has not complied with any regulations of the University, whether in respect of any examination or any other matter including fees, having given the candidate such opportunity as it considers reasonable of remedying non-compliance with the regulation or regulations, then the Academic Council shall have power (which it may delegate to its Student Disciplinary Committee), to suspend for such time as may be prescribed, the release to the candidate of the results of any examination, or to decline to credit to his/her course any subjects, or to impose both those penalties.

(m) A candidate may appeal to the Vice-Chancellor against any decision of the Academic Council or its Student Disciplinary Committee by writing to the Vice-Chancellor within fourteen (14) days of being notified of the decision. A candidate so appealing shall be entitled to make submissions in writing and may, with the consent of the Vice- Chancellor, appear when the appeal is determined.

(n) All enquiries and reports relating to University examinations shall be directed to the Registrar.

6. Some Punishable Offences and Penalties

The table on page 170 is a schedule of some of the probable offences and penalties meted out. As candidates familiarize themselves with the schedule, specific note of the following conditions must be taken: -

(a) The schedule is not exhaustive, and the University will not be constrained from penalizing candidates for any other conduct that it

168 may deem punishable, or imposing any penalties other than those appearing on this guide.

(b) Candidates will be deemed to have registered for University examinations upon registering for units in their departments or faculties. Such registration will be construed to mean readiness to comply with all examination regulations in force at the time of registration.

(c) The interpretation of examination regulations, and the offences and penalties thereof, will rest with the Academic Council.

(d) The University will have the right to amend or vary the examination regulations without prior consultation with the candidates. Such amendments or variations will, however, be brought to the candidate’s attention before the sitting of the examinations in which the amendments or variations will be in force.

169

SOME PUNISHABLE EXAMINATION OFFENCES AND PENALTIES

Offence Penalty

1. Possession of unauthorized material e.g. Cancellation of the candidate’s examination pencil pouches, shawls, any form of subject in the unit concerned. Candidate repeats notes etc brought to the examination the entire unit. A written warning. venue by the candidate himself/herself or by other persons (at the behest, reasonable knowledge or consent of the candidate)with the intention of copying. 2. Copying from unauthorized material Cancellation of the candidate’s examination carried by the candidate himself/herself or results in the unit(s) concerned. other person(s) to the examination venue. Suspension from the University for one academic year and repeat the entire unit on re-admission. A written warning.

3. Circulating unauthorized written material Cancellation of the candidate’s examination to other candidates during an examination results in the unit(s) concerned. Expulsion from the University of the parties involved.

4. Communicating orally with other Cancellation of examination results of the candidates during the examination. unit(s) in which the offence was committed. Candidate to retake such unit(s).

5. Copying from other candidates’ Cancellation of the examination results in examination work in the examination. the unit for the candidate(s) involved. Retake the unit. Suspend candidate(s) involved from the University for one academic year. Proceed to the subsequent year of study on readmission.

PROVIDED THAT the other candidate will only be penalised if it is proved that the copying was made possible because of his or her consent, collusion, or reasonable knowledge.

6. Possession of used or unused examination Cancellation of the candidate’s examination answer book(s) in the examination venue results in the units concerned. Suspension other than the material issued by the from the University for one academic year invigilator. and repeat the unit on re-admission. A written warning.

7. Returning of examination answer books Cancellation of the candidate’s examination with written answers after the time results of the unit concerned. Retake the

170 allowed and specified by the invigilator paper.

8. Willful disruption of University Cancellation of the candidates results in the examinations. unit concerned. Expulsion from the University for those involved.

9. Impersonating another candidate. Expulsion from the University for the candidates involved in the conspiracy.

10. Presenting oneself for an examination in a Cancellation of the candidate’s results in unit he/she has not duly registered. that unit(s). A written warning.

11. Commission of examination offences more Cancellation of the candidate’s results. than once. Expulsion from the University for those involved.

12. Using the registration number or name of Cancellation of the candidate’s examination another candidate results of the unit concerned and the candidate repeats the entire unit(s).

13. Leaving the examination room with Cancellation of the candidate’s examination unused examination answer booklets. results in the units concerned. Suspension from the University for one academic year and repeat the unit on re-admission. A written warning.

14. Leaving the examination room with one’s Cancellation of the candidate’s examination examination answer booklets i.e. failing to results in the units concerned. Suspension submit one’s answer scripts after one has from the University for one academic year done the examination. and repeat the unit on re-admission. A written warning.

7. Ordinary University Examinations

(a) All course units shall normally be examined during the semester in which they are taught. Such examinations shall be called Ordinary University Examinations.

(b) Ordinary University Examinations shall consist of written papers covering each course unit completed. The time allowed for such examinations shall be no longer than two (2) hours.

(c) Ordinary University Examinations shall normally be conducted at the University and shall be invigilated by at least two members of the

171 teaching staff. The chief invigilator shall normally be the member of staff who taught the specific course.

(d) External examiners shall moderate all draft examination question papers before they are sat, and shall also moderate the marked scripts.

(e) Assessment of a candidate shall consist of Continuous Assessments and Ordinary University Examinations.

(f) Continuous Assessments shall normally contribute 30% of the total marks unless stated otherwise and written University examinations shall contribute 70% of the total marks unless stated otherwise. A course unit that consists solely of practical work may be assessed out of 100% by continuous assessment.

(g) Each course unit shall be graded out of 100 marks and the pass mark shall be 40percent, unless stated otherwise. Marks shall be translated into letter grades as follows:

70% to 100% A 60% to below 70% B 50% to below 60% C 40% to below 50% D Below 40% F (Fail) (h) A candidate who scores marks within 3 marks of the pass mark may be compensated by the Faculty Board so as to get the pass mark, by reducing once as many marks from a related passed course, and provided that the average score for all the examined course units in that semester is 50% or more before compensation. Compensation is not automatic, and will be done at the discretion of the Faculty Board of Examiners. Only one course can be compensated per semester for a candidate.

(i) Subject to the provisions of Special Ordinary Examinations, a candidate who absents himself/herself from a University examination for any unit shall be deemed to have failed in that unit, with a total mark of zero.

(j) Community Based Attachment and Industrial or Practice Internship shall be graded out of 100 marks and grades awarded as per guidelines. Individual certificates of community service shall be issued in the case of Community Based Attachments.

172 8. Progression

Unless exempted, a candidate must pass all the course units in a preceding stage in order to register for subsequent course units in the subsequent stage, in respect of all programmes that are offered in stages.

9. Retake Examinations

There will be no period set for the retake examinations; instead candidates will sit their examinations when the unit(s) in question is (are) offered.

(a) A candidate who fails in any unit in an Ordinary University Examination in any given year shall be allowed to apply for retake examination(s) in the failed unit(s) provided that the total number of such units shall be less than 50% of units sat. Such candidate shall apply for retake examination(s) within a period of not more than 14 days inclusive of Saturday and Sunday after the candidate has been notified of the result;

(b) A candidate for retake examination(s) shall be required to register and pay the prescribed fee for the retake examination(s) after being notified of the success of his/her application but not later than one month before the date of the retake examination;

(c) The maximum marks in a retake examination shall be 40% for all courses and the total score shall not include continuous assessment;

(d) A candidate who fails in any retake examination(s) shall repeat the failed unit(s);

(e) A candidate who fails the repeated unit(s) shall unconditionally qualify to apply for retake examination in the failed unit(s). The candidate shall respectively register and pay the prescribed fee for retake examination(s) before sitting for the examination(s);

10. Special Ordinary Examination

(a) Special Ordinary Examinations shall normally be offered on medical and compassionate grounds only. Candidates shall apply to the Registrar for Special Ordinary Examination before the date of the examination. Such candidates will sit the examination(s) when it is next offered. The total marks in a Special Ordinary Examination shall include the continuous assessment marks previously earned by the student, and the maximum shall be 100%;

(b) A candidate who has registered and paid the requisite fees for any unit(s), and for serious reasons has not completed the course work as

173 required, will repeat the unit when offered. However, the unit will appear as an ordinary examination in the transcript;

i) A candidate who is prevented by illness from attending an examination, or a candidate who believes that illness has significantly affected his or her preparation for or performance at an examination, may apply for a Special Ordinary Examination on medical grounds;

ii) The candidate’s medical or dental practitioner recognised by the University will provide the University with a medical/dental assessment indicating:

1. Period of impairment affecting examination preparation within the semester;

2. Impairment at the time of the examination, which may be described as nil, minor, severe or unfit.

(d) Medical Evidence i) All necessary medical evidence must be obtained from the relevant authority and any additional information included so that as much documentation as possible is lodged at the time of application for special examination;

ii) The medical evidence must relate to a visit to the practitioner no later than the day of the examination or assessment. Note that medical report(s) will not be acknowledged retrospectively;

iii) Only the original medical report certified by the practitioner, or a certified copy, shall be acceptable;

(e) Compassionate Grounds

A candidate who is prevented by circumstances beyond his or her control from attending an ordinary examination may apply for a Special Ordinary Examination on compassionate grounds.

(f) Candidates should note the following: i) Each application for a special ordinary examination on medical or compassionate grounds is considered on its merits and making an application does not guarantee that a Special Ordinary Examination will be granted;

174 ii) Given that such special ordinary examinations are not automatically offered, candidates are encouraged to sit the Ordinary University Examination;

iii) Candidates should not apply for a Special Ordinary Examination on the unit(s) failed or performed poorly;

(g) A candidate who fails in any special ordinary examinations shall retake the examination in the failed unit(s) when the unit is next offered.

11. Repeat

(a) A candidate who repeats more than a sixth of the units in any stage shall not qualify for the award of a degree with honours on completion of the programme;

(b) A candidate who fails to apply for retake examinations as provided in 9(a) shall be required to repeat the failed units;

(c) A candidate who fails to attain the pass mark in more than 50% of units sat in any year shall be required to repeat the failed unit(s) and cannot register for any additional units;

(d) No candidate shall be permitted to repeat any unit more than once on academic grounds;

12. Discontinuation

A candidate who repeats and fails more than half the number of units in any year of study shall be discontinued from the program.

13. Appeal for Reassessment

A candidate who is not satisfied with the grade which he/she has been awarded in any unit may appeal to the Dean of the Faculty or School for remarking of the written examination paper in that unit upon payment of the appropriate fee, which fee shall be determined by the Academic Council from time to time. The grade and mark recommended by the examiner(s) after remarking shall be the final grade and mark awarded to the candidate for the unit. No appeal for re-marking of any unit shall be entertained in cases where the appeal has been submitted later than 14 working days inclusive of Saturday and Sunday after the candidate has been notified of the result.

14. Classification of Degrees

(a) Final classification of Bachelor’s degrees will be based on the Overall Average Mark of all the required taught course units and the research project which is weighted as two (2) units. The attachments will not

175 be used to calculate the average because attachments are graded as Pass or Fail. Where a candidate has been exempted from some units, the Overall Average Mark will be based on the actual number of units taken. The Bachelor’s degrees will be classified as follows:

Overall Average Mark Degree Classification 70% to 100% First Class Honours 60% -below 70% Second Class Honours (Upper Division) 50% - below 60% Second Class Honours (Lower Division) 40% - below 50% Pass

15. Graduation

The following shall be the Conditions of Entry to Graduation:

(a) Graduation is open only to registered students of the University who have fulfilled both the academic and fee requirements of their programme (as per Statute XXXIII) and who have been approved for the appropriate award by the Academic Council (hereafter referred to as ‘Graduands’).

(b) In order to become a graduate of the University, Graduands must apply for Graduation by completing the graduation application form which is issued by the Schools/Faculties and pay the appropriate fee as set by the University. A Graduand will not be deemed to be a Graduate of the University until they have applied for and completed the process of graduation at the University Graduation and Awards Ceremony, either in person or in absentia.

(c) Graduands are required to apply for Graduation within the specified registration period in accordance with University Graduation Procedures as determined by the University and notified to potential graduates through official notice boards throughout the University, the University website and Students’ Handbook.

(d) Graduands will be registered for Graduation in the name that is recorded on the Students’ University Record at the time the award decision was made by the Academic Council. The Certificate will bear the registered name of the Graduand, and shall not be changed once the period for confirmation of records stated hereunder has lapsed.

(e) Graduands should confirm their Students’ University records and clear all fees balances at least one month to the graduation, failure to which no appeals will be accepted.

(f) Regulations regarding appeals against awards are as follows:

176 i) Once a student has graduated from the University, he/she is deemed to have accepted the award as approved by the Academic Council and to have become a graduate of the University. Academic appeals from graduates against marks, types of degrees or awards approved by the Academic Council will not be considered by the University.

ii) Any appeals against an award approved by the Academic Council must be done in writing to the Vice Chancellor not less than 14 days before the graduation ceremony. No appeals will be accepted outside this period.

iii) Graduands who lodge an academic appeal have the following options:

 Attend the graduation ceremony as planned while the appeal is being considered;  Defer graduation until the next set of ceremonies by which time the result of the appeal will be known;  Graduate in absentia and await the outcome of their appeal.

iv) Graduands who wish to take up option (i) will be included in the graduation listings with the award they are appealing against. They will not be given their award certificate after the ceremony but will receive a letter of completion. Once the appeal has been heard and a decision made the certificate will be issued in accordance with the decision of the appeal.

v) Graduands who wish to take up option (ii) will be invited to attend the next graduation ceremony once the decision of their appeal has been reached. The certificate will be presented to them after the ceremony.

vi) Graduands who wish to take up option (iii) will be included in the graduation lists and their certificate will be awarded once a decision has been made. The graduate will not be invited to attend another ceremony.

vii) Graduands who appeal against the decision of the Academic Council which states that they are not eligible for an award shall not be included in the Graduation Lists.

16. Disposal of Examination Scripts

The examination scripts shall be stored by the University for a period not exceeding three years after the candidate’s graduation. The scripts shall be destroyed through the most appropriate mode after the expiry of the storage period.

177 SCHEDULE VIII: RULES AND REGULATIONS FOR GRADUATE STUDIES

The School of Graduate Studies bears the responsibility of implementing policies and procedures that have been approved by the University Council and enforcing any rules and regulations pertaining to graduate studies in the University. These general rules and regulations are applicable to all graduate programs of the University, unless exempted by the Academic Council, and shall be subject to revision by the Academic Council, as the Board of Graduate Studies may recommend from time to time.

1. Minimum Entry Requirements

1.1 Postgraduate Diplomas (PGD)

(a) Holders of Bachelor’s degrees, or equivalent qualifications from any recognised university, shall be eligible for admission into postgraduate diploma programs of the University.

(b) In addition to meeting the above admission criteria, applicants shall be required to attend and pass an oral interview and an appropriate graduate entrance examination.

1.2 Masters Degrees (MSc, MA, MBA, LL.M, etc)

(a) The following shall be eligible for admission into Master’s degree programs of the University:

i) Holders of First Class or Upper Second Class honours degrees in the relevant academic fields from recognized universities, or

ii) Holders of other related qualifications from recognized universities, considered by the Academic Council as equivalent to a First Class or Upper Second Class degree, or

iii) Holders of Lower Second Class degrees plus postgraduate diplomas or certificates, or with at least two years relevant experience.

iv) Holders of a qualification equivalent to a Bachelor’s degree. These may be admitted to a Master’s degree only under exceptional circumstances. The conditions under which they may be admitted will be determined by the Board of Graduate Studies and approved by the Academic Council.

(b) In addition to meeting any one of the above admission criteria, applicants shall be required to pass an oral interview and an appropriate graduate entrance test administered by the University.

178 1.3 Doctor of Philosophy Degrees (PhD)

(a) The following shall be eligible for admission into Doctor of Philosophy degree programs of the University:

i. Holders of Master’s degrees in the relevant academic fields, or ii. Holders of other related qualifications, considered by the Academic Council as equivalent to Master’s degrees.

(b) An applicant for PhD studies shall normally have a Bachelor’s degree in the relevant field, in addition to a Master’s degree.

(c) In addition to meeting the above admission criteria, applicants shall be required to submit a concept paper of not more than one thousand words for their research, and pass an oral interview administered by the University.

1.4 Subject to approval by the Academic Council, faculties, schools and institutes may formulate regulations requiring applicants to have attained such academic or equivalent qualifications as may be consistent with the goals of their graduate programs.

2. Processing Applications for Graduate Studies

(a) Applicants for graduate studies shall obtain application forms from the School of Graduate Studies after paying an application fee, whose amount shall be determined by the Academic Council from time to time. Completed application forms plus copies of relevant academic certificates, official transcripts and any testimonials shall be submitted to the School of Graduate Studies within a prescribed time period.

(b) The Graduate Entrance Examination (GEE) shall be administered to the applicants.

(c) The application documents together with the GEE scripts shall be forwarded by the Manager of the School of Graduate Studies to the respective Faculty Graduate Studies Committees for processing. The relevant faculty will also administer the oral interview.

(d) The Faculty Graduate Studies Committees shall make a recommendation to either admit or reject the applicant based on the application documents and performance in the GEE and oral interview. The documents will then be forwarded to the Dean of the School of Graduate Studies, who shall approve the admission or rejection of the applicants.

(e) Before approving an applicant for admission into a program, the Dean of the School of Graduate Studies shall satisfy himself/herself that:

179 i) The applicant meets the minimum entry requirements.

ii) The proposed field of study can be pursued under the supervision of the University academic staff. iii) The applicant has adequate opportunities for consulting his/her supervisor(s) at least once a month.

iv) The applicant can obtain access to material relevant to the area of study or research.

v) The applicant has access to adequate facilities for practical or laboratory work, where applicable.

(f) Applicants whose admissions have been approved by the School of Graduate Studies will receive an admission letter and may register in a program after paying the prescribed fees for that program.

(g) Applicants will not be admitted into a graduate program unless there are sufficiently qualified staff to teach, supervise and examine students in that academic discipline.

3. Conduct of Graduate Studies

(a) Registered students must take and pass all core, required, specialisation and other elective courses prescribed in a given program.

(b) A core course is a course of instruction that is fundamental to the understanding of a subject. A required course is a course of instruction that must be taken by a student to fulfil certain requirements of a program of study as dictated by the University. Specialisation courses are selected from a group of specialised courses that reflect a given area of concentration.

(c) Taught courses shall be evaluated in terms of course units, a course unit being defined as 45 contact hours of lectures, tutorials and practical or field work. For the purposes of these regulations, one Lecture Hour shall be defined as one contact hour of lecture or two contact hours of tutorial classes or three contact hours of practical work.

(d) Postgraduate Diploma students shall be required to do course-work during the first part of their program and undertake a project during the second part, at the end of which they shall submit a project report. The total duration of the program shall normally not exceed twelve (12) months.

(e) All master’s students shall do their Master’s degree by Coursework and a dissertation or thesis. The students shall be required to submit a written dissertation or thesis at the end of their study.

180

(f) The minimum duration for a Master’s degree program shall be four (4) semesters (or 2 academic years) and the maximum duration shall be eight (8) semesters (or 4 academic years).

(g) The normal duration of study for PhD degree shall be three years for full- time students and six years for part-time students. The minimum duration shall be two years for full-time students and four years forpart- time students. The maximum duration shall be four years for full-time students and seven years for part-time students.

(h) All PhD students will normally participate in research seminars, pass the requisite assessments and submit their research proposals during the first year of study. Full time students shall conduct research during their second and third years of study and submit a thesis at the end of their third year of study. Part-time students shall conduct research during the second to sixth years, and submit their thesis at the end of their sixth year of study.

4. Examination Regulations for Coursework

4.1 Processing of Examinations

(a) The Academic School in which a student is taught shall set examinations and process the results both internally and externally. The Dean of the Academic School shall then forward the processed examination results for all the registered candidates to the Faculty Graduate Studies Committee.

(b) The Dean of the Academic School shall present examination results that have been discussed by the Faculty Graduate Studies Committee to the Board of Graduate Studies, who shall make appropriate recommendations to the Academic Council. The Board of Graduate Studies may authorise the release of provisional examination results to the candidates by the Dean of the Academic School.

(c) After the release of provisional examination results, a candidate who is not satisfied may appeal for the remarking of an examination, provided the appeal is made within a period of 14 calendar days from the date the results are released.

(d) The letter of appeal shall be addressed to the Dean of the Academic School and copied to the Dean of the School of Graduate Studies. On making the appeal, a candidate will pay a non-refundable fee, whose amount shall be determined by the Academic Council from time to time.

(e) The Dean of the Academic School in consultation with the Dean of the School of Graduate Studies shall appoint either an internal or an external

181 examiner to remark the relevant examination paper(s). Such an examiner shall be a person who has not taught the candidate in that particular semester.

(f) The mark obtained after remarking any paper shall be the official mark. The Dean of the Academic School shall report such a mark to the Board of Graduate Studies for approval.

(g) The Dean of the Academic School shall present examination results that have been approved by the Board of Graduate Studies to the Academic Council for final approval.

(h) After the Academic Council has approved the results, the Registrar shall prepare and issue official academic transcripts to all registered students who sat examinations.

4.2 General Examination Regulations

(a) Candidates registered in any graduate program shall be required to take and pass the minimum number of courses prescribed for that program. The pass mark shall be 50% in each course, unless explicitly stated otherwise.

(b) Assessment of taught courses shall normally consist of:

i. A written examination in the form of a 2½-hour to 3-hour paper, which shall normally constitute 60 per cent of the total marks in each course, unless otherwise explicitly stated.

ii. Continuous Assessment based on essays, laboratory assignments, term papers, seminar presentations, oral examinations and/or continuous assessment tests (CATs) as may be prescribed by the Academic School. This will normally constitute 40 percent of the total marks, unless otherwise explicitly stated..

(c) A candidate who fails less than 50 per cent of the total number of prescribed courses in a given semester shall be eligible to retake the failed examinations. A candidate who fails an examination after a retake shall be required to repeat the failed course when next offered.

(d) A candidate who fails 50 per cent or more of the total prescribed courses in any semester shall be given the option of dropping out of the program altogether or repeating all the courses offered in that semester. Candidates who repeat courses must register for them afresh.

(e) Candidates who fail to sit an examination owing to verifiable medical or other major reasons shall be eligible to sit special examinations.

182 (f) Postgraduate Diploma (PGD) and Master’s degree courses shall be graded as follows:

70% to 100% A 60% to below 70% B 50% to below 60% C Below 50% Fail

(g) Postgraduate Diploma (PGD) students shall have their final awards classified based on the average mark calculated from taught courses and the research project. The Diploma shall be classified as follows:

75% to 100% Distinction 60% to below 75% Credit 50% to below 60 % Pass

(h) Master’s and Doctor of Philosophy degrees shall not be graded.

5. Appointment and Role of Supervisors

(a) Based on the recommendation of the teaching department, the Faculty Graduate Studies Committee shall forward names of Supervisors for research projects, dissertations and theses to the Board of Graduate Studies for approval.

(b) Before approving the appointment of any Supervisor, the Board of Graduate Studies shall certify that the proposed Supervisor is competent in the subject area in which the candidate proposes to work.

(c) Each Master’s candidate shall normally have one supervisor, while a PhD candidate will have two supervisors. At least one supervisor shall be a member of the teaching department in which the student is registered.

(d) Where an additional thesis or project Supervisor is recommended for appointment from outside the University, such a person shall show evidence of competence in the area of study through publications produced since obtaining his/her higher degrees. Such a person shall submit current curriculum vitae to the Board of Graduate Studies before formal appointment.

(e) All students shall be required to consult their supervisors at least once a month based on a schedule to be worked out between the students and their supervisors.

(f) It is the duty of supervisors to direct and supervise students’ fieldwork and research. Supervisors shall be required to maintain constant and

183 effective contact with their students and to send progress reports of their students to the Dean of the School of Graduate Studies every three months.

6. Examination of Dissertations and Theses

6.1 Submission and Assessment of a Dissertation or Thesis

(a) Once a dissertation or thesis is approved by the Supervisor, the Faculty Graduate Studies Committee submits the same to the Board of Graduate Studies together with a proposal of one internal examiner and one external examiner for each dissertation or thesis.

(b) The Board of Graduate Studies shall consider and approve names of proposed examiners. Such names shall then be tabled in the Academic Council, with a brief summary of their curriculum vitae. Examiners of any thesis or dissertation shall normally have PhD degrees, or equivalent.

(c) A candidate shall submit three copies for Master’s students and five copies for PhD students of a loosely bound dissertation orthesis to the Dean of the School of Graduate Studies for assessment. The Dean shall distribute copies of the submitted dissertation or thesis to the internal Examiner, the external Examiner and a copy shall remain in the School of Graduate Studies.

(d) The two Examiners shall be required to assess the dissertation or thesis and submit detailed written reports to the Dean of the School of Graduate Studies within four weeks of receipt of the dissertation or thesis.

6.2 Oral Defence of Dissertation or Thesis

(a) Based on the recommendations of the Board of Graduate Studies, the Academic Council shall appoint a Board of Examiners for oral defence for each Masters or PhD candidate submitting a dissertation or a thesis. The Board of Examiners for a PhD thesis shall consist of:

i) Dean of Graduate School, as Chairperson ii) The Dean of the Academic School iii) The internal examiner of the thesis or dissertation iv) The external examiner(s) v) Up to two senior members of academic staff nominated by the Dean of Graduate School.

(b) The Board of Examiners for Master’s dissertation or thesis shall consist of

i) The Dean of the Faculty, or representative, as Chairperson

184 ii) The internal examiner of the thesis or dissertation iii) The external examiner

(c) Members of the Board of Examiners for Oral Defence shall be provided with copies of the candidate’s thesis or dissertation report two weeks before the date of oral defence.

(d) All members of the Board of Examiners for oral defence of a PhD thesis must have PhD degrees.

(e) Members and friends of the University may attend any Oral Defence, subject to availability of space. Such people shall be listed ‘in attendance’ and will be allowed to ask questions, but these shall not contribute to the assessment of the candidate. An administrative staff member of the School of Graduate Studies shall attend Oral Defences for the purpose of taking minutes.

(f) Marks distribution for Thesis or Dissertation shall be as follows:

Thesis/Dissertation 80% of total marks Oral Defence by Candidate 20% of total marks

(g) The mark for the thesis or dissertation shall be the average of the two marks from the written assessment reports submitted by the internal and external examiners. The Oral Defence mark shall be the average of the marks of all examiners present during the oral defence of the thesis or dissertation.

(h) A candidate must pass both the Oral Defence and the written thesis or dissertation. The pass mark shall be 50% of total marks in each case.

(i) When the External Examiner fails a candidate’s thesis or dissertation, the External Examiner shall be invited to attend the Oral Defence.

(j) Before a PhD candidate can be cleared with an overall pass and awarded a PhD degree, he/she must produce at least three papers from the thesis that have been published or accepted for publication in a reputable refereed journal.

(k) When a candidate fails a thesis or dissertation, the Board of Examiners for Oral Defence shall make appropriate recommendations to the Board of Graduate Studies, indicating what steps the candidate needs to take to amend the situation, if possible.

6.3 Submission of Final Bound Thesis or Dissertation

(a) Once a candidate has incorporated into the thesis or dissertation all the recommendations of the Board of Examiners, the Supervisors shall check

185 and certify that these have been done to their satisfaction. The candidate shall then bind the thesis or dissertation according to the format of the University, and submit one copy to each of the Supervisors, one copy to the School of Graduate Studies, one copy to the Academic School and one to the University Library.

(b) A Thesis or Dissertation shall be bound in boards with buckram or other suitable binding fabric bearing the colour of the University. The bound Thesis or Dissertation shall be lettered in gold on the spine with the following information: Name of the candidate, brief title, degree and the year of final submission, in that order. The front cover shall be lettered in gold with the following information: Title of the Thesis or Dissertation, name of candidate, name of degree with the year of final submission at the bottom.

(c) Each candidate submitting a Thesis or Dissertation must, in addition to the hardbound copies, submit a soft copy of the entire thesis or dissertation to the School of Graduate Studies. The digital dissertations and theses shall be posted in the University e-repository.

(d) The Dean of the School of Graduate Studies shall table in the Academic Council names of graduate students who have qualified to be awarded higher degrees of the University.

7. Specific Regulations for Postgraduate Diplomas

(a) The Postgraduate Diploma (PGD) program shall normally run for a period of one academic year and shall consist of a minimum of 450 contact hours (or ten course units) of coursework, examination and a research project.

(b) Students shall choose topics for their projects in consultation with staff of the department. Each student shall be assigned one member of academic staff to supervise the project.

(c) The project shall be assessed by two Examiners who are members of the given faculty. One of the Examiners shall be the student's Supervisor in respect of the project. The project mark shall be the arithmetic mean of the scores of the two Examiners.

(d) The project will be assessed from a maximum of 100 marks. A candidate who fails in a project shall be given three months to resubmit the project, failing which the candidate shall be given the option of dropping out of the programme, or taking up a different project.

(e) A student who fails a project and opts to choose a different one will be required to register for one more semester.

186 8. Specific Regulations for Master’s Degrees

8.1 Master’s Degree by Coursework and Thesis

(a) The Master’s Degree by Coursework and Thesis shall normally extend over a period of twenty-four (24) months of full time attendance, or a maximum period of 48 months of part-time attendance.

(b) Coursework shall normally be done during the first part of the programme and shall have at least 675 contact hours (or 15 course units).Research and thesis shall be conducted during the second part and shall have 270 contact hours (or equivalent of 6 course units), thus making a total of 945 contact hours for the programme. The minimum number of contact hours allowable for a master’s degree is 855.

(c) At the beginning of the second year of study, a student shall be assigned a supervisor. The student will work with the supervisor to submit a research proposal to the Faculty Graduate Studies Committee. The proposal must be signed by the student and supervisor.

(d) The student will be invited to defend the proposal before proceeding with field research or laboratory research as per the selected research methods.

(e) Once the proposal is approved by the Faculty Graduate Studies Committee, the student will carry out the field work and submit a thesis within the allowable time for the program.

(f) All Master’s degrees by coursework and thesis students shall be required to give seminars on their research findings to their Faculty Graduate Studies Committee one to two months before submission of their theses for examination. Soon after the seminar, the Faculty Graduate Studies Committee will propose one internal examiner and one external examiner for each thesis submitted.

(g) Assessment of the thesis shall be conducted as per Section 6 of these Regulations. Before graduating, a candidate must pass in both Coursework and Thesis. The pass mark shall be 50% throughout.

8.2 Master’s Degree by Coursework and Dissertation

(a) The Master’s Degree by Coursework and Dissertation shall normally extend over a period of twenty-four (24) months of full time attendance, or a maximum period of 48 months of part-time attendance.

187 (b) Coursework shall normally be done during the first part of the program and shall have at least 765 contact hours (or 17 course units). Research and dissertation shall be conducted during the second part and shall have 180 contact hours (or equivalent of 4 course units), thus making a total of 945 contact hours for the program. The minimum number of contact hours allowable for a master’s degree is 855.

(d) The student will be invited to defend the proposal before proceeding with field research or laboratory research as required by the selected research methods.

(e) Once the proposal is approved by the Faculty Graduate Studies Committee, the student will carry out the field work and submit a dissertation within the allowable time for the programme.

(f) Assessment of the dissertation shall be conducted according to section 6 of these regulations. Before graduating, a candidate must pass in both Coursework and Dissertation. The pass mark shall be 50% throughout.

9. Specific Regulations for Doctorate Degrees

(a) The Doctor of Philosophy (PhD) program shall normally run for three years for full-time students and six years for part-time students.

(b) All PhD studies in the University shall normally be by research and thesis.

(c) Students registered for PhD studies will be required to carry out a detailed literature survey of the subject area of their interest and participate in graduate seminars organised by the School of Graduate Studies, during the first year of study. They will also be required to develop a research proposal during the first year. The second and third years of study for full-time students, or second to sixth year of study for part-time students, will be dedicated to research and thesis.

(d) At the beginning of the second semester of study, each PhD student shall be assigned two supervisors by the School of Graduate Studies. The student will be required to submit a Research Proposal to the Dean of the School of Graduate Studies at the end of the first year of study. The proposal must be signed by the student and supervisors.

188

(e) The School of Graduate Studies shall constitute a Panel of Evaluators to review the proposal and make recommendations to the Board of Graduate Studies on the suitability of the proposed area of study, while ensuring that the student has submitted a serious proposal for PhD studies, and has the potential and opportunities to make an original contribution to the advancement of knowledge. The student will be invited for an oral defence of the proposal.

(f) After the first year of study, each student shall present one seminar annually to the Faculty Graduate Studies Committee, indicating progress made thus far.

(g) Assessment of the thesis shall be done according to the procedure indicated in section 6 of these regulations.

(h) Before graduating, a PhD candidate must submit a thesis. The thesis should form a distinct contribution to knowledge of the subject; and should show evidence of the candidate’s ability to relate the subject matter of the thesis to the existing body of knowledge within the field of study. The student will normally be required to defend the thesis in an oral examination. Additionally, the PhD candidate must produce at least three papers from the thesis that have been published or accepted for publication in a reputable refereed journal.

10. Post-Doctoral Research

The Board of Graduate Studies shall co-ordinate postdoctoral research in the University, and shall liaise with the office of the Deputy Vice-Chancellor for Research and the Advancement Office with respect to soliciting and managing research funds, awarding research funds to individuals or groups and recruiting Research Assistants, where necessary.

11. Exemptions

(a) Requests for exemptions from the application of these general rules and regulations may be submitted with due reasons to the Board of Graduate Studies by the Chairman of a Faculty Graduate Studies Committee. The Board of Graduate Studies shall discuss such requests and make appropriate recommendations to the Academic Council.

(b) In making recommendations for exemptions, the Board of Graduate Studies shall take into consideration the overall impact such an exemption may have on the rest of the graduate student community. Only the Academic Council, on the recommendations of the Board of Graduate Studies, may grant exemptions from these rules and regulations.

189

SCHEDULE IX: REGULATIONS GOVERNING STUDENT CONDUCT AND DISCIPLINE

Preamble

By accepting membership in Strathmore University, a student joins a community characterized by free expression, free inquiry, intellectual honesty, respect for the dignity of others, and openness to constructive change.” Thus, plagiarism, sexual and racial harassment, the use of physical violence, or lying to an officer amount to violation of the principles on which the University is founded and invite disciplinary action.

1. Jurisdiction and Role of the Academic Council

1.1 The Academic Council shall have the right to interpret and the authority to apply these rules and regulations.

1.2 The Academic Council shall have the right to make new rules and regulations, and to amend the existing rules and regulations, subject to confirmation by the Management Board and the University Council.

2. Definition of a Student

For the purposes of these rules and regulations, a student shall be any person who is registered by the University for the purposes of obtaining a qualification in the University or any other person who is determined by the Academic Council to be a student.

3. Application and Scope of these Rules and Regulations

3.1 These rules and regulations shall be binding on all students of the University from the time they enter the University until such time as they discontinue, or are discontinued from their studies and are deregistered, or until they shall have graduated and have been awarded the degree, diploma, certificate or other qualification for which they have been studying.

3.2 Registered students are expected to abide by these rules and regulations at all times, when in academic session as well as during holidays, both on and off campus. 4. Enforcement of the Rules and Regulations

4.1 Faculty Boards, either directly or through the respective Faculty Management Committees, shall have the duty and responsibility of ensuring that these rules and regulations are followed and enforced at their respective levels.

190 4.2 Faculties may form hearing committees to hear and determine minor cases such as cheating in class attendance, CAT related cases and minor class misdemeanours. The University Library may also form hearing committees to hear and determine library related cases. The maximum duration a Faculty or Library hearing committee can suspend a student shall be two weeks. All disciplinary actions shall be reported and recorded in the Office of the Dean of Students immediately the action is taken.

4.3 The Student Disciplinary Committee shall hear all University related cases and other grave offences. Major disciplinary decisions, such as expulsion or suspension, shall require confirmation by the Academic Council.

4.4 Students who fail to adhere to these rules and regulations will be issued with a warning letter or will be suspended according to the gravity of the matter. If the behaviour of the student does not improve thereafter, or if the matter is very serious, he/she may be expelled.

4.5 Only the Academic Council shall have the authority to decide to expel a student or to suspend a student. A student who is facing expulsion or suspension for more than one year shall have the right to appear before the Student Disciplinary Committee in order to defend himself/herself. A student who has been expelled by decision of the Academic Council shall have the right to appeal to the University Council.

5. The Student Council

5.1 There shall be a representative Student Council, whose purpose shall be to promote the academic, cultural, social and sporting welfare of the students of the University.

5.2 The Student Council shall operate under its own constitution, which shall be approved by the Academic Council.

5.3 The Dean of Students will oversee the activities of the Student Council.

6. Clubs, Societies and Publications

6.1 Students of the University who form a club or society, or an organisation for whatever purpose, and who wish to use the name and/or Coat of Arms of the University in its title shall register with the office of the Deputy Vice- Chancellor for Academic& Student Affairs through the Dean of Students.

6.2 The Deputy Vice-Chancellor for Academic & Student Affairs will not consider applications for the use of the name of the University until the club, society, or organisation has been registered with the Dean of

191 Students for two consecutive semesters and consent may be withdrawn as he or she thinks fit.

6.3 Each club, society or organisation shall appoint a Patron/Advisor who shall be a senior member of staff.

6.4 No student member of the governing committee of a club, society, or organisation shall in organising or sanctioning an event or function, or otherwise, encourage or incite a breach of the rules and regulations governing student conduct or discipline.

6.5 Failure to comply with these regulations may result in the club, society, or organization being deregistered.

6.6 Each club, society or organization which registers with the Office of the Deputy Vice- Chancellor for Academic& Student Affairs through the Dean of Students shall establish a constitution and file a copy of it with the Office of the Deputy Vice-Chancellor for Academic & Student Affairs. The club, society or organisation shall act in accordance with the constitution so established and advise the Deputy Vice-Chancellor for Academic& Student Affairs through the Dean of Students promptly of any changes in the constitution. It shall notify the Office of the Deputy Vice-Chancellor for Academic& Student Affairs not later than the end of the fourth week of every semester about the program of activities which has been arranged for that semester.

6.7 Each club, society or organization shall appoint a Chairperson, a Treasurer and a Secretary from among the students. The Secretary will keep a proper record of its activities. The Treasurer will keep a proper record of its financial transactions which will be available for inspection at the request of the Patron appointed. The Treasurer will forward to the office of the Deputy Vice-Chancellor for Academic& Student Affairs by the end of the fourth week of each semester a copy of the accounts for the preceding semester signed by the Patron and the Dean of Students.

6.8 Each club, society or organization shall not appoint several individuals jointly to hold any of the offices specified in 6.7 nor allow any individual to hold more than one of these offices at a time.

6.9 The office bearers in 6.7 shall serve a term of one year that runs from the end of the second semester examination period until the end of the following second semester.

6.10 Each officer of a club, society or organization must, on relinquishing his or her appointment, promptly hand to his or her successor in office (or to another member of the club nominated by its committee) all official documents and records belonging to the club, together with (on request from the club's committee) any other property of the club which may be

192 in his or her possession, and must complete any requirements to transfer authority relating to control of the club's bank account, or other financial affairs.

6.11 In exceptional circumstances, at the request of a non-sports club, the Deputy Vice- Chancellor for Academic& Student Affairs shall have discretion to dispense from any of the requirements in 6.7 and 6.9 subject to such terms and conditions as he or she may from time to time see fit to impose.

7. Sports Clubs

7.1 Each sports club which registers with the Office of the Deputy Vice- Chancellor for Academic and Student Affairs shall:

(a) Establish a constitution and file a copy of it with the office of the Deputy Vice- Chancellor for Academic& Student Affairs;

(b) Act in accordance with the constitution established under section 7.1(a);

(c) Advise the DVC for Academic& Student Affairs promptly, through the Dean of Students, of any changes in the constitution established under section 7.1(a);

(d) Appoint to its Committee a Patron (who shall be a senior member of staff) through whom the club is accountable to the DVC for Academic & Student Affairs;

(e) Present annual accounts to the DVC for Academic& Student Affairs, through the Dean of Students.

7.2 Each officer of a sports club must, on relinquishing his or her appointment, promptly handover to his or her successor in office (or to another member of the club nominated by its committee) all official documents and records belonging to the club, together with any other property of the club which may be in his or her possession, and must comply with any requirements to transfer authority relating to control of the club’s account, or any other financial affairs.

7.3 There shall be only one registered club for each sport.

8. University Sports Teams

8.1 These are the teams participating in premier leagues in the country.

8.2 Each University Sports team shall register with the Office of the DVC for Academic & Student Affairs.

193 8.3 Each team shall be run by a technical committee comprising the coach as chairperson and the sports administrator as the team manager.

8.4 The committee shall prepare an annual budget together with fundraising plans which shall be approved by the Student Affairs Committee.

8.5 The Committee shall submit an annual report which shall include annual accounts to the Students Affairs Committee and to the DVC for Academic and Student affairs

9. Publications

9.1 A publication which registers with the office of the Deputy Vice- Chancellor for Academic& Student Affairs shall:

(a) Notify the Deputy Vice-Chancellor for Academic & Student Affairs through the Dean of Students by the end of the second week of each semester of the names of its Editor or Editors and the names of any other persons who have agreed to assume financial and other responsibilities, and shall promptly notify the Deputy Vice-Chancellor of any changes in its editor(s).

(b) Appoint a senior member of staff as its Patron who shall be kept informed of the activities of the publication.

(c) Keep a proper record of its financial transactions which shall be available for inspection at the request of the Patron or the Deputy Vice-Chancellor for Academic& Student Affairs.

(d) Inform the Deputy Vice-Chancellor for Academic& Student Affairs when a publication ceases and so present a financial statement.

9.2 In exceptional circumstances, at the request of a publication, the Deputy Vice- Chancellor for Academic& Student Affairs shall have discretion to dispense from the requirements of (b) and (c) of clause 9.1 above, subject to such terms and conditions as may from time to time be imposed.

10. Academic Integrity

10.1 The ability of the University to achieve its aims depends upon the quality and integrity of the academic work that its faculty, staff and students perform. Academic freedom can flourish only in a community of scholars, which recognizes that intellectual integrity, with its accompanying rights and responsibilities, lies at the heart of its mission. Observing basic

194 honesty in one’s work, words, ideas, and actions is a principle to which all members of the University are required to adhere.

10.2 Each student must act with honesty and integrity, and must respect the rights of others in carrying out all academic assignments. A student may be found to have engaged in academic dishonesty if, in connection with any academic assessment or academic or research assignment, he or she

(a) Engages in any form of academic deceit;

(b) Refers to materials or sources or uses devices (e.g., computer disks, audio recorders, camera phones, text messages, crib sheets, calculators, solution manuals, materials from previous classes, or commercial research services) not authorised by the instructor for use during the academic assessment or assignment;

(c) Possesses, reviews, buys, sells, obtains, or uses, without appropriate authorisation, any materials intended to be used for an academic assessment or assignment in advance of its administration;

(d) Impersonates others, i.e. takes an assessment on behalf of or pretend to be another student, or allow another person to take an assessment on his behalf or pretend to be him.

(e) Depends on the aid of others, including other students or tutors, in connection with any academic assessment or assignment to the extent that the work is not representative of the student's abilities;

(f) Submits other people's work as their own - either with or without their knowledge. This includes copying in examinations; using notes or unauthorised materials in examinations etc.

(g) Provides inappropriate aid to another person in connection with any academic assessment or assignment, including the unauthorised use of camera phones, text messages, photocopies, notes or other means to copy or photograph materials used or intended for academic assessment;

(h) Engages in plagiarism i.e. taking or using another person's thoughts, writings or inventions as your own.

(i) Uses materials from the Internet or any other source without full and appropriate attribution; (j) Colludes with others, i.e. copies or shares another student's work or lends his or her work to another student in the reasonable knowledge that some or all of it will be copied.

195 (k) Duplicates existing material, i.e. submits work for assessment that is the same as, or broadly similar to, work submitted earlier for academic credit, without acknowledgement of the previous submission.

(l) Falsifies data, i.e. the invention of data, its alteration, its copying from any other source, or otherwise obtaining it by unfair means, or inventing quotations and/or references.

(m) Signs an attendance sheet for another student, allows another student to sign on the student's behalf, or otherwise participates in gaining credit for attendance for oneself or another without actually attending;

(n) Falsifies or misrepresents hours or activities in relationship to an internship, attachment, field experience, or similar activity; or

(o) Attempts to influence or change any academic assessment, assignment or academic record for reasons having no relevance to academic achievement.

10.3 If any student is found to have engaged in any form of academic dishonesty, the student will be penalized according to the student disciplinary procedures.

11. Attendance and Punctuality

11.1 Students who wish to be absent from class must get permission from the Course/Faculty/School Administrator. In case of an emergency, such permission may be obtained from the lecturer concerned, who will in turn inform the Course/Faculty/School Administrator.

11.2 A student who is absent from class for more than a specified number of lectures without a valid reason may be issued with a warning letter by the Course/Faculty/School Administrator, or may be excluded from the final examination in that subject, according to the regulations of each Faculty.

11.3 A student who is persistently absent from class after receiving two warning letters may be discontinued from the course.

11.4 If a student signs the Attendance Register on behalf of an absent student, both students will be suspended from class for a period of time to be decided by the Head of Department concerned. The students will be required to discuss the matter together with their parents or guardians or sponsors in the presence of the Dean of the Faculty.

11.5 A student found attending a course for which he/she has not enrolled will be discontinued from any other courses for which he/she is enrolled, and will not be allowed to enrol for any further courses in the University.

196

11.6 If a student has been discontinued from attending a course for non- payment of fees, and is subsequently found attending lectures without clearance from the Course/Faculty/School Administrator, he/she will be deemed to have committed a serious offence and will be disciplined accordingly. 11.7 Punctuality is needed for the smooth running of the University. Students are expected to be present and seated in the classroom before a lecture begins. If a student arrives late for a lecture, the lecturer has discretion to decide whether to allow him/her into the classroom.

11.8 When in class, students should be attentive and not engage in doing other study or assignments, or in reading such material as novels, newspapers or magazines.

12. General Behaviour, Conduct, Discipline and Respect for Others

12.1 The University aims at preparing and training its students for real work situations and for professional work. Therefore, all students are expected to present themselves and behave decently and in a business-like manner. Such conduct is expected, whether inside or outside the University grounds, in their relations with their fellow students, with all other persons whom they meet, and towards the general public. Specifically, students should not act abusively towards persons in authority.

12.2 Respect for the rights, privileges, and sensitivity of each other is essential in preserving the spirit of community at the University. Actions which make the atmosphere intimidating, threatening, or hostile to individuals are therefore regarded as serious offenses. Abusive or harassing behaviour, verbal or physical, which demeans, intimidates, threatens, or injures another person because of his or her personal characteristics or beliefs, will call for disciplinary action.

13. Damage to University Property

Students will be liable for any damage caused by them to University property.

14. Student’s Property

The University accepts no responsibility for any loss or damage to students' property however caused.

15. Motor Vehicles

15.1 No student shall park a motor vehicle on any land of the University without the express permission of the person or body which has charge

197 of that land. Permission may be obtained by applying to the Transport officer through the Dean of Students.

15.2 A motor vehicle parked without such permission may be wheel-clamped or towed away, and a penalty charge may be incurred.

16. Racial or Ethnic Bias and Harassment

Expressions of racial or ethnic bias directed at individuals or groups undermine the civility and sense of community on which the well-being of the University depends. The University calls on all its members to display the appropriate sensitivity and to challenge expressions of racial or ethnic bias whenever they encounter them. The University will take serious disciplinary action against racial or ethnic harassment.

17. Sexual Harassment and Assault

The University prohibits sexual harassment and assault. The University shall take whatever action may be necessary to prevent, correct, and, if need be, discipline behaviour that violates this policy.

18. Protests and Demonstrations

Freedom of speech and peaceable assembly are basic requirements of the University as a centre for free inquiry and the search for knowledge. These rights involve a concurrent obligation on the part of all members of the University to maintain on the campus an atmosphere conducive to scholarly pursuits and to respect the rights of all individuals. It is a violation of these policies for a student or student body:

(a) To prevent, or wilfully attempt to prevent, the orderly conduct of a University function or activity, such as lectures, meetings, interviews, ceremonies, and public events;

(b) To block, or wilfully attempt to block, the legitimate activities of any person on campus or in any University building or facility.

19. Personal Safety

Actions that threaten or endanger in any way the personal safety or security of others will be regarded as serious offenses. The following offenses will be regarded as extremely serious:

(a) Deliberate participation in a riot or general disturbance that threatens the safety, or seriously threatens the property, of University members.

198 (b) Intimidation by violence, by a threat of violence, or by property damage, which seeks to interfere with the free expression of ideas, or attempts to punish such free expression.

(d) Any physical assault committed in the course of any University function or activity, or on the premises of the University.

(e) Any other act that seriously endangers human life, or threatens serious physical or psychological injury.

20. Silence

Reasonable silence should be observed in the lecture rooms, even in the Lecturer’s absence, so that students who wish to study can do so. Students should avoid making noise outside the lecture rooms while lectures are in progress as this disturbs those attending the lectures. Activities that take place in the vicinity of classrooms, the library, the chapel, and similar facilities must be conducted in such a way as to respect the need for maintaining a reasonable degree of silence in such areas.

21. On-Campus Misconduct

On-campus misconduct by students will normally result in internal disciplinary action, although in some instances the University may deem it necessary to call upon external law-enforcement authorities and to file charges in the courts. In particular, misconduct by students that inflicts or threatens to inflict personal injury or serious damage to property, that severely impairs essential functions of the University, or that cannot be adequately handled by the University, may require the intervention of outside authorities. Outside authorities will be called in only by a senior officer of the University.

22. Off-Campus Misconduct

In general, the University may not impose disciplinary penalties for misconduct off campus beyond the local vicinity. However, in consequence of actions by a student of the University inwhich the activities violate a stated University regulation, or are of such a serious nature as to indicate danger to members of the University community and others, the responsible University official may initiate disciplinary proceedings, whether or not legal sanctions have been incurred.

23. University Security

The University security serves to protect the rights, safety, and property of members of the University community. All students are required to carry their

199 student ID Cards whenever they come to the University and should show it to the Guard at the entrance and to any member of Staff who may ask to see it.

24. Smoking

Smoking is only permitted on University premises where there is a positive indication that it is a smoking area. Students should not smoke in the lecture rooms and along corridors and staircases.

25. Alcoholic Beverages

Any student who comes to the University intoxicated will be subjected to disciplinary action. There will be no alcohol consumption by students on University grounds.

26. Illegal Drugs

Any student who is found in or around the University peddling, consuming or under the influence of illegal drugs will be subjected to disciplinary action. The University prohibits the unlawful manufacture, dispensation, possession, use, or distribution of any illegal drug in any amount on University grounds, or while in the conduct of University business away from the campus.

27. Pornography

Any student found with pornographic material or any kind of material that is offensive to the dignity of other persons will be subjected to disciplinary action.

28. Defacement of Property and Unauthorised Advertisements

No student shall intentionally or recklessly and without lawful authority, within six kilometres of the University campus:

(a) Deface any building, wall, fence, or other structure by inscribing on it any writing or posting on or attaching to it any bill;

(b) Display any advertising material in a public place.

29. HIV Infection

The University regards human immunodeficiency virus (HIV) infection as an important public health issue for the University community. It does not discriminate on the basis of HIV infection. Upholding moral values, education, understanding, compassion, and confidentiality are crucial in dealing effectively and responsibly with the profound issues surrounding this public health problem.

200 30. Dress Code

Students are expected to dress in a manner appropriate to the business environment. Students dressed in an inappropriate manner will not be allowed to enter the University. All students are required to sign a letter whereby they agree to abide by the dress code regulations.

31. Local and Overseas Activities

31.1 No student shall participate in any sports, society or organisation tour which involves local and overseas travel during the semester without the prior permission of the University.

31.2 The written permission of the Dean of faculty, school or institute or Dean of Students shall accompany any request to the Deputy Vice-Chancellor for Academic & Student Affairs.

31.3 No student shall participate in any local and overseas activities organised by a club, society, or organisation registered with the Office of the Deputy Vice-Chancellor for Academic& Student Affairs, whether during term-time or vacation, unless the plans for that activity have been notified to the Deputy Vice-Chancellor through the Dean of Students at least one calendar month before the date of departure.

31.4 Each student participating in such local and overseas activities shall observe any conditions imposed by the Deputy Vice-Chancellor for Academic& Student Affairs on the recommendation, as the case may be, of the Games and Sports Officer or the Dean of Students.

32. Use of the Library

32.1 Library rules must be complied with. Failure to do so may lead to withdrawal of the student’s rights to use the Library.

32.2 Students who wish to study in the Library will be issued with a Library card on payment of the Library fee. Students shall be required to show their cards on entering the Library.

SCHEDULE X: ICT REGULATIONS

I INTRODUCTION

These regulations are meant to serve two purposes: to regulate the use of the University’s Information and Communication Technologies and Resources, and to educate users on their responsibilities in relation to the use of these resources.

201 1. Definitions: 1.1 Information and Communication Technology Resources (ICT Resources) include application systems, Information, ICT infrastructure and people owned by, or under the jurisdiction of, the University.

1.2 Applications Systems are the automated user systems and manual procedures that process the information.

1.3 Information is the data, in all their forms, input, processed and output by the information systems in whatever form is used by the business.

1.4 ICT Infrastructure is the technology and facilities (i.e., hardware, operating systems, database management systems, networking, multimedia, and the environment that houses and supports them) that enable the processing of the applications.

1.5 People are the personnel required to plan, organize, acquire, implement, deliver, support, monitor and evaluate the information systems and services. They may be internal, outsourced or contracted as required.

1.6 ICT resources’ owners are designated individuals under whose jurisdiction particular information system resources have been placed. These are ordinarily senior officials of the University including heads of departments but may also be any individual so designated by the Management Board.

1.7 Authorisation is permission granted by the owner of an ICT resource to a user to use that resource.

1.8 Scope: These regulations have the status of "University Regulations" which apply to all members of the University.

1.9 Director, Information and Communications Technology Services (Director, ICT Services): the person designated as the head of the University’s ICT services.

1.10 ICT Resource Custodian: Director of ICT Services is the Custodian of all shared ICT resources and services.

1.11 Acceptable use refers to rules governing the good use of ICT resources in the University

1.12 Unacceptable use refers to bad conduct that users must avoid when using the University’s ICT resources

202 II REGULATIONS

1. Access Management All users of the University’s ICT resources must be authorised to access the appropriate systems and their resources. Access is controlled and monitored in accordance with University Statutes. The elements involved in controlling and monitoring access include identification, authorisation and authentication.

1.1 Identification 1.1.1 All system users are assigned unique IDs (i.e. Username/PIN and passwords) to use in accessing the University’s systems and applications.

1.1.2 User IDs (i.e. Username/PIN and passwords) Must Not be shared.

1.1.3 Users are responsible for maintaining the security of their IDs and all activity occurring under those IDs (i.e. Username/PIN and passwords). IDs (i.e. Username/PIN and passwords) are issued in accordance with approved standards.

1.1.4 In special circumstances, temporary generic accounts may be approved by the ICT Director or delegate.

1.2 Authorisation 1.2.1 Every user shall require authorisation before using any ICT resources. This authorisation shall be obtained through written authority by the ICT resource owner or head of department and will be implemented by the ICT Custodian by issuing the user a user name and password and facilitating access to the resources so authorised.

1.2.2 No one shall use any University ICT resource without proper authorisation. Users shall not assist, encourage, or conceal from authorities any unauthorised use, or attempt at unauthorised use, of any of the University's ICT resources.

1.2.3 Users shall not disclose any information which may lead to compromise in the security of the University’s ICT resources. Security includes the integrity, confidentiality and availability of the University’s ICT resources. Specifically, users shall not disclose their user names and passwords to any person whether authorised or not, nor obtain any other person's password by any unauthorised means whatsoever. Access credentials (i.e. Username, passwords, Tokens, Cards, PINs etc.) are issued in accordance with approved standards.

1.2.4 A user shall not misrepresent his or her identity or relationship to the University when obtaining or using University ICT resources.

203 1.3 Authentication 1.3.1 Authentication ensures an identity. Each ID (i.e. Username) requires a technique, usually a password, for validating identity.

1.3.2 Standards apply to all systems requiring authentication.

1.4 Account Management 1.4.1 System custodians must be authorised by the system owner before giving users access to a system. This advice must include the respective access levels for each user. 1.4.2 System Custodians must determine who should be able to get network access from off campus or remote locations. (For example through Virtual Private Networks)

1.4.3 At a minimum, a quarterly review of all system access levels of users should be carried out. The System Custodians should ensure any non-compliance as a result of this activity is addressed as a matter of priority. All records of non-compliance must be kept until all matters arising from non-compliance have been resolved.

1.4.4 When employees terminate employment or change positions within the University, Human Resource Office should effect the necessary changes by advising the ICT system custodians to modify access rights and privileges of affected users in the appropriate system.

1.4.5 This is important in ensuring proper segregation of duties within University systems.

1.5 Privileged Users Access 1.5.1 Certain system users have high-level access rights, enabling them to access any data stored on the University’s ICT systems. These staff members can be generically termed as System Administrators.

1.5.2 Staff with high-level access rights should abide by a high Code of Ethics.

1.5.3 The ICT Department should constantly review access rights for System Administrators

1.5.4 System Administrators found guilty of breaching security are subject to disciplinary action in accordance with the University Statutes and Regulations

204 1.6 Contractors, Vendors & Third party access 1.6.1 Contractors, Vendors and third-party access are permitted only if authorised by the Systems Owner and agreed by System Custodian.

1.6.2 These parties must comply with access control standards which require, at a minimum, that a unique user ID (i.e. username) identify each user. This ensures that only authorised individuals receive access to systems.

1.6.3 All temporary accounts should have an expiration date based on contract completion date.

2 Asset Security Management

2.1 Server & System Backup 2.1.1 All critical University information must be backed up on a regular basis. Frequency of backup is determined by the frequency with which the data changes and the effort required to recreate the information if lost.

2.1.2 Standards apply to the backup of data from all University systems.

2.2 Personal Computer and Mobile Device Backup 2.2.1 All critical University information should be stored on centrally maintained corporate networked disk storage. 2.2.2 Any other data stored on desktops, laptops and other mobile devices becomes the responsibility of the user to ensure it is backed up on a regular basis. 2.2.3 Frequency of backup is determined by the frequency with which the data changes and the effort required to recreate the information if lost.

2.3 Recovery 2.3.1 All backups of critical data must be tested periodically to ensure that they support full system recovery.

2.3.2 System Administrators must document all restore procedures and test these on a regular basis, at least semi-annually.

2.3.3 Backup media must be retrievable within 24 hours, 365 days a year.

2.3.4 Standards apply to the recovery of data from all University systems.

205 2.4 Off-Site Storage 2.4.1 Off-site is synonymous with “out of the building”.

2.4.2 The off-site storage location must provide evidence of adequate fire and theft protection and environmental controls.

2.4.3 A formal Service Level Agreement (SLA) must exist with the off- site storage provider when one exists and a site visit should be undertaken on a bi-annual basis.

2.4.4 Where this service is provided within the organisation, the site should be visited monthly and at a minimum quarterly.

2.5 Data Retention 2.5.1 Owners of University data are responsible for defining and documenting the length of time data must be retained.

2.5.2 The retention period, legal requirements, responsible parties, and source of legal requirement should be specified.

2.5.3 System Administrators or other parties as may be specified are responsible for ensuring that these requirements are adhered to.

2.6 Business Continuity 2.6.1 As part of the Information Services Risk Management Framework, Business Continuity and Disaster Recovery Plans should be prepared and tested for all of the University’s major systems.

2.6.2 The testing strategy to be implemented will be influenced by the importance of the system to the University’s business operations and the ability to recover the system within agreed time frames (that is, recovery point objective, RPOs and recovery time objectives, RTOs)

2.6.3 A copy of each plan should be stored offsite in a secure manner to ensure that the plan can be implemented in the case of a disaster.

2.6.4 A review of any major disruption to information services should be undertaken to identify the cause of the disruption and where appropriate adjust the plan and/or procedures to minimise the risk of the event occurring again.

2.7 Security All major information assets must be accounted for and have a nominated custodian who is responsible for the implementation and management of this policy in relation to those assets.

206

2.7.1 Data Security and Classification 2.7.1.1 Different types of data require different levels of security. The University classifies data into various categories which in general are : Public, Proprietary and Restricted. It is the System Custodian’s responsibility to establish authentication and authorisation guidelines for custodial data. Please note that:

. Public data can generally be made available or distributed to the general public; . Proprietary data is for internal University use and not for external distribution; and . Restricted (moderately to highly sensitive) data is to be used only by individuals who require it in the course of performing their University responsibilities, or data, which is protected by local or country legislation. Restricted data can only be deleted with the permission of the System Owner

2.7.1.2 Staff should be aware of their legal and corporate responsibilities concerning inappropriate use, sharing or releasing of information to another party. Any third party receiving proprietary or restricted information must be authorised to do so and that individual or their organisation should have adopted information security measures, which guarantee confidentiality and integrity of that data. 2.7.2 Security Standards for different ICT Resources do apply

3 Acceptable Use of ICT Resources

The University's mission can be understood broadly as including education, research, self-training, and discussion on a wide range of subjects, not just those immediately necessary for a person's job or course of study. In this context, University employees are still accountable for how they use time and equipment at work. The University’s ICT Resources are provided to departments, faculty and schools in support of their academic mission. ICT Services department encourages the use of these resources and makes them widely available to the University community. Nonetheless, their use constitutes acceptance of this policy and is subject to the following requirements.

3.1 Users must comply with all applicable Acts of Parliament and jurisdiction by laws as they may apply.

207 3.2 All users shall share ICT resources in accordance with policies set for the ICT resources involved, giving priority to more important work and cooperating fully with the other users of the same resources.

3.3 All users in designated departments will be subjected to staff employment termination procedures as prescribed by the University under HR Management regulations.

3.4 Users must seek permission or have approval from the owner of an ICT resource or head of department concerned to read, alter, or delete another person's computer files or electronic mail. Where this is not possible, the approval may be obtained from the ICT Director in consultation with a senior member of University Management. Preferably a member of the Management Board.

3.5 Various policies permit members of the University community to earn additional income by writing books and articles related to their academic work, and to use University resources for this purpose, including ICT resources. Staff shall be permitted to use these Resources for outside consulting jobs provided the University is reimbursed for costs incurred. All such uses must be approved by their head of department.

3.6 Whilst the University network is being used to access outside networks, any abuses against such networks will be regarded as an unacceptable use.

3.7 Users are responsible for the security of their files in the University computers. This includes ensuring its privacy, confidentiality, integrity and availability of the files. ICT Services department provide security control mechanisms to secure files and information in the university’s systems and computers. However, for the controls to be effective it is expected that users shall observe security control procedures and directives.

3.8 Users shall take full responsibility for information that they transmit through the University ICT Resources. The Management Board reserves the right to order the screening and eventual filtering or blocking of users’ access privileges to ICT resources whenever the need arises.

4 Unacceptable Use of ICT Resources

The University grants the use of its ICT Resources to numerous organisations whose activities contribute to its mission, such as student organizations, professional societies, and the campaign for charities.

4.1 The University ICT Resources must not be provided to individual consumers or organizations that do not support the mission of the University. In this respect any other use of ICT Resources must have

208 been granted permission by the ICT Director acting on behalf of the Management Board.

4.2 Users shall not modify or reconfigure software or hardware on any University computer or network facility without proper authorisation.

4.3 Users must not move any ICT Resources without prior permission of the designated owner and/or the Director of ICT Services.

4.4 No user shall copy, install, or use any software or data files without authorisation from the Director of ICT Services or in violation of applicable copyrights or license agreements.

4.5 The University ICT Resources must not be used for the following activities: 4.5.1 The creation, dissemination, storage and display of political campaigns, personal fund-raising, commercial enterprises, mass mailings.

4.5.2 The creation, dissemination, storage and display of obscene or pornographic material; indecent images; hate literature; defamatory materials or materials likely to cause offence to others; and any data that is illegal.

4.5.3 The downloading, storage and disseminating of copyrighted materials including software and all forms of electronic data without the permission of the holder of the copyright or under the terms of the licenses held by the University.

4.5.4 Any activities which do not conform to the Kenyan Laws and other University guidelines and policies regarding the protection of intellectual property and data.

4.5.5 The deliberate interference with or gaining illegal access to user accounts and data including viewing, modifying, destroying or corrupting the data belonging to other users.

4.5.6 Use of a username and password belonging to another user.

4.5.7 Attempts to falsify your identity, or to pretend of having a different affiliation with the University when using University ICT Resources. 4.5.8 Attempts to crack capture passwords or decode encrypted data unless supported by genuine business needs as authorized by the Director, ICT Services

4.5.9 Any other use that may bring the name of the University into disrepute or expose the University to the risk of civil action.

209

4.5.10 Intentional creation, execution, forwarding or introduction of any viruses, worms, trojans or software code designed to damage, self-replicate or hinder the performance of the University network.

4.5.11 Deliberate actions that might reduce the effectiveness of any antivirus or other ICT security controls installed by authorized University staff.

4.5.12 Purposefully scanning internal or external machines in an attempt to discover or exploit known computer software or network vulnerabilities.

4.5.13 Engaging in commercial activities that are not under the auspices of the University.

4.5.14 Using computing resources (cpu, time, disk space, bandwidth) in such a way that it causes excessive strain on the computer systems or disrupts, denies or create problems for other users.

4.5.15 Connecting any computing device to the University network unless it meets the security standards established by University ICT Services department.

5 Administrative Computing Systems

5.1 Administrative Computing systems are those system applications that deal with financial, academic, administrative, or other business information that is an integral part of running the business of the University.

5.2 Administrative systems may constitute all applications developed at Strathmore University, acquired from external vendors, built from open- source components, as well as those extended from existing or purchased applications, whether the systems are developed in central offices, in schools or in departments.

5.3 Every administrative computing system at Strathmore University must have a designated Business Owner who ensures that the system meets the business needs of the University and is appropriately available, secure and sustainable.

5.4 System owners have the responsibility to ensure that each system meets its functional requirements, is appropriately documented, is secure and controlled, has been adequately tested, and is maintainable.

210 5.5 This policy applies to any application that affects more than one person's job responsibilities.

5.6 Standards do apply for the development and/or acquisition of Administrative Computer Systems and Applications in the University

6 Publishing of web content Users who publish World Wide Web pages or similar information on University ICT Resources shall take full responsibility for what they publish; shall respect the Acceptable-Use and Unacceptable-Use requirements.

7 Internet Use 7.1 The University encourages the use of the Internet for the purpose of educational research and learning and to allow greater efficiency in teaching, research, administrative and service functions. Internet access is provided with the understanding that it is the individual user's responsibility to demonstrate judgment and respect for others, and to use the facility in an ethical, legal, accountable and considerate manner. Members of staff are discouraged from using the facility in a way that is in direct conflict with their official duties.

7.2 It is prohibited to use the facility for any other purposes that contravene Acceptable-Use and Unacceptable-Use.

7.3 Internet Standards guiding usage of the internet facility do apply.

8 Electronic Boards

8.1 Users shall comply with the regulations and policies of newsgroups, mailing lists, and other public forums through which they disseminate messages.

8.2 It is prohibited to use the facility for any other purposes that contravene Acceptable-Use and Unacceptable-Use.

8.3 Standards guiding usage of the Electronic Boards do apply.

9 Privacy Policy 9.1 The University fully supports and where possible observes the internationally recognized standards of personal data privacy protection, in compliance with the legal requirement of Personal Data (Privacy).

9.2 In doing so, the University will ensure all users respect others privacy and comply with the aforementioned laws with the strictest standards of security and confidentiality. However, the Management Board reserves the right to authorise access to any information including personal information for purposes of investigation as spelt under Penalties section below.

211

9.3 Information collection at the University’s web pages and related resources will adhere to data privacy requirement as established by the University and dictated in Law.

9.4 Standards on privacy of personal information do apply,

10 Access to information after termination A leaving employee may, after termination of employment, require certain information resources (e.g. files in PC hard disk or storage facility, etc) held, or services (e.g. email redirection) to be provided, by the University. The following procedure will be followed in providing such access:

10.1 The leaving employee shall request access through the Executive Director for Human Resources specifying in writing the resources or services required. 10.2 The Executive Director for Human Resources (HR), on consultation with the employee’s former HOD, determines that such access or service is wholly or partly allowable and is authorised. The Executive Director - HR requests ICTD to provide the resources or services to the employee. In making this request, The Executive Director - HR specifies the resources or services to be provided to the employee.

10.3 A terminated employee shall, at no point after termination, access information resources directly unless authorised in writing by the University Secretary, who will have consulted with the Director of ICT Services on guidance over possible risks to the University resulting from granting such access. 11 Penalties 11.1 Violation or infringement of these regulations shall constitute an offence under the applicable procedures and shall incur similar disciplinary measures as violations of other University regulations, including criminal prosecution in serious cases.

11.2 The Director of ICT Services may recommend to the Management Board withdrawal of access to facilities from any user for the purposes of investigating a breach of these regulations. Any recommendations for withdrawal of service will be notified to the user's head of department. The Director of ICT Services may also make recommendations to the Management Board for withdrawal of access to facilities from any user found guilty of breaching these regulations.

11.3 Information stored on central systems, including files and electronic mail messages, will usually be treated as strictly confidential and will not be accessed by any member of the University. However, where there is a good reason to believe that a breach of the University’s Regulations has taken place, the Management Board may authorise Director of ICT

212 Services to investigate the contents of a user’s files and email folders. In every case, the user will be informed that this action has been taken.

12 Disclaimer 12.1 The University accepts no responsibility for the loss of any data or software or the failure of any security or privacy mechanism.

12.2 No claim shall be made against the University or its employees in respect of any loss alleged to have been caused whether by defect in the resources or by act or neglect of the University or its employees.

SCHEDULE XI: POLICY ON COPYRIGHT OWNERSHIP AND RELATED RIGHTS

1 Introduction

1.1 The creation of copyrighted works is one of the ways in which the University fulfils its mission of contributing to the advancement of knowledge for the common good. Inventions, Academic Materials, Publications, Software programming and other Creations are the natural outgrowth of activity in teaching, research, publications and service. The University encourages the creation of original works of authorship and the free expression and exchange of ideas.

1.2 This Policy embodies the spirit of academic tradition, which provides copyright ownership to members of the University for their scholarly and aesthetic copyrighted works, and is otherwise consistent with the Copyright Act, 2001 of the Republic of Kenya for all matters relating to copyrights in which the University inter alia provides.

2 Purpose and Scope This statement sets forth the University's Policy on the Copyright Ownership for works produced at, by, or through the University. This Policy applies to University employees, students, and other persons or entities using designated University facilities or acting under contract with the University for Commissioned Works.

3 Definitions For purposes of this Policy, the following definitions shall apply:

3.1 Copyright:

Copyright is the intangible property right granted by the Copyright Act 2001 of the Republic of Kenya for an original work fixed in a tangible form of expression. Copyright provides the owner with the following exclusive rights in a work:

213

(a) To reproduce the work in any manner or form (b) To publish the work (c) To perform the work in public (d) To transmit the work (e) To make an adaptation of the work

3.2 Designated Academic Appointees:

Designated Academic Appointees are those University employees who have a general obligation to produce scholarly or aesthetic works.

3.3 Independent Academic Effort

Inquiry, investigation, or research carried out by Designated Academic Appointees to advance knowledge or the arts where the specific choice, content, course, and direction of the effort is determined by the designated academic appointee without direct assignment or supervision by the University. The general obligation of designated academic appointees to produce scholarly or aesthetic works is considered independent academic effort.

3.4 License

This refers to a contract by which a copyright owner grants to another permission to exercise one or more of the rights under copyright.

3.5 Originator (s)

One who produces a work by his or her own intellectual labour. When there is more than one originator, the ownership of each originator's contribution shall be considered separately pursuant to this Policy.

3.6 Permissible Consulting Activities

Professional or scholarly services provided by University employees for compensation, which do not interfere with regular University duties, do not utilize University resources, and are not prohibited by terms of the University employment contract or other applicable University agreements or policies.

3.7 Royalties

A payment made to an owner of a copyright for the privilege of practising a right under the copyright.

3.8 Sponsor

214 This refers to an organization or agency which provides funding, equipment, or other support for the University to carry out a specified project in research, training, or public service pursuant to a written agreement. Sponsors include state, international, local, and other governmental entities, non-governmental bodies as well as private industry, educational institutions, and private foundations.

3.9 University Facilities

Buildings, equipment, and other facilities under the control of the University, that are designated by the appropriate authority as requiring an advance agreement, from non-University personnel and University personnel acting outside the scope of their employment, concerning the disposition of any copyrighted works that are originated with the use of these facilities. Such facilities normally include campus computer centres.

3.10 University Funds

This refers to funds, regardless of source, which are administered under the control, responsibility, or authority of the University.

3.11 University Resources

This refers to University funds or facilities.

3.12 Work

This refers to any copyrighted expression, including literary works (written lectures are included); musical works including any accompanying words; artistic works; audio-visual works; sound recordings; broadcasts and computer programs.

4 Copyright Ownership by Category of Work

4.1 Commissioned Work

A commissioned work is a work produced for University purposes by individuals not employed at the University or by University employees outside their regular University employment. When the University commissions for the production of a work, the title normally shall reside with the University. In all cases, copyright ownership shall be specified in a written agreement. Any such agreement which provides for ownership otherwise than by the University generally shall also provide the University with a free-of-cost, nonexclusive, world-wide license to use and reproduce the copyrighted work for education and research purposes.

215 4.2. Contracted Facilities Work

A contracted facilities work is a work produced by non-University personnel or University personnel acting outside the course and scope of their employment, using designated University facilities pursuant to a written agreement. Ownership of copyrights to contracted facilities work shall be governed by the agreement permitting use of the specified University facilities. Depending on the nature of the facility and the nature and extent of the use, the agreement may specify that ownership of resulting copyrights rests with the University, or the University simply may be paid a fee for the use of the facility, or some other arrangement as may be appropriate.

4.3. Institutional Work

Except as otherwise provided in this Policy, the University shall own all copyrights to works made by University employees in the course and scope of their employment and shall own all copyrights to works made with the use of University resources.

4.4. Personal Work

A personal work is a work that is prepared outside the course and scope of University employment (except for permissible non-University consulting activities) without the use of University Resources. Ownership of copyrights to Personal works shall reside with the originator.

4.5. Scholarly or Aesthetic Work

A scholarly or aesthetic work is a work originated by a designated academic appointee resulting from independent academic effort. Ownership of copyrights to scholarly or aesthetic works shall reside with the designated academic appointee originator, unless they are also sponsored works or contracted facilities works, or unless the designated academic appointee agrees to participate in a project which has special provisions on copyright ownership pursuant to Section 5 C, of this Policy.

4.6. Sponsored Work

(a) A sponsored work is a work first produced by or through the University in the performance of a written agreement between the University and a sponsor. Sponsored works generally include interim and final technical reports, software, and other works first created in the performance of a sponsored agreement. Sponsored works do not include journal articles, lectures, books or other copyrighted works created through independent academic effort and based on the findings of the sponsored project, unless the sponsored agreement states otherwise.

216 (b) Ownership of copyrights to sponsored works shall be with the University unless the sponsored work agreement otherwise provides. Any sponsored work agreement which provides for ownership otherwise than by the University generally shall provide the University with a free-of-cost, nonexclusive, world-wide license to use and reproduce the copyrighted work for education and research purposes.

4.7. Student Work

A student work is a work produced by a registered student for a degree, diploma or certificate of the University without the use of University funds that is produced outside any University employment, and is not a sponsored, contracted, or commissioned work. Ownership of copyrights to student works shall reside with the originator.

4.8. Work Acquired by Assignment or Will

The University may acquire copyrights by assignment or will pursuant to the terms of a written agreement or testament. The terms of such agreements should be consistent with this Policy on Copyright Ownership and other University policies governing such acquisitions.

4.9. Copyright Ownership of Jointly Originated Works

Copyright ownership of jointly originated works shall be determined by separately assessing the Category of Work of each originator pursuant to Section IV above. Rights between joint owners of a copyright shall be determined pursuant to Copyright Act, 2001.

5 Copyright Agreement and Notification

5.1. Prior to the use of any University facility by non-University personnel or by University personnel outside University employment, a signed agreement shall be required that specifies the disposition of copyrighted works. University employees using University facilities for work outside University employment are responsible for bringing this to the University's attention so that an appropriate agreement for use can be negotiated. (See 4.2 above.)

5.2. Designated academic appointees participating in sponsored projects must have a written agreement in force with the designated campus official which acknowledges:

(a) Individual and joint responsibility to produce and deliver sponsored works to the sponsor, as required by the terms of the sponsored project agreement, and/or to the University when so requested; and

217 (b) That copyright ownership of sponsored works, unless reserved to the sponsor or otherwise provided for in the sponsored project agreement, shall vest in the University. (See 4.6 above).

5.3. Any designated academic appointee, other employees, or student wishing to participate in a specified University project that includes copyright ownership requirements other than provided in Section 4 of this Policy must sign an agreement stating his or her concurrence with that project's special conditions. The University authorities shall designate special University projects that shall require such special copyright agreements.

6 Release of University Rights

The University may release its ownership rights in copyrighted works to the originator(s) when, as determined by the University: (a) there are no overriding or special obligations to a sponsor or other third party; and (b) the best interests of the University would be so served. Such release of ownership rights must be contingent on the agreement of the originator(s) that no further effort on, or development of, the work will be made using University resources and that the University is granted a free-of-cost, nonexclusive, worldwide license to use and reproduce the work for education and research purposes.

7 Licensing and Royalties

The University may assign or license its copyrights to others. Royalty or income received from such transactions may be shared with the originator(s) of such works, as determined by the appropriate University authorities taking into account the originator's contribution, the University's costs, any provisions imposed by sponsors or other funding sources, and any other applicable agreements concerning the copyright.

8 Copyright Responsibilities and Administration: Strathmore University Authorities

For copyrighted works under their respective jurisdictions, Strathmore University authorities are authorized to:

8.1 Issue guidelines, implementing procedures, and supplementary local policies consistent with this Policy. These may include directives regarding the giving of licenses, disposition of royalty income, and other rights related to copyrights. The Vice-Chancellor shall be the custodian of copies of such guidelines, policies and procedures.

8.2 Identify the campus and other University facilities or projects as having special copyright assignment obligations and issue guidelines and implement procedures regarding assignment of copyright in works produced using such facilities or projects;

218

8.3 Register copyrights, accept copyrights from third parties, and sell, assign, or grant licenses in the name of the person for any rights to copyrights; and

8.4 Release University ownership rights to copyrighted works which are in the name of the person of Strathmore University, pursuant to Section 7.

SCHEDULE XII: FINANCIAL REGULATIONS

1 INTRODUCTION

1.1. Strathmore University is a non-profit organisation.

1.2. This document sets out the Financial Regulations of the University as approved by the University Council in accordance with the Charter and Statutes.

1.3. Throughout this document reference to heads of schools or other budget units is deemed to include directors of academic services, directors of administrative support services and others with responsibility for the management of a budget unit included in the presentation of the University’s management accounts.

2 STATUS OF FINANCIAL REGULATIONS

2.1. These Regulations are made by the University Council in accordance with its statutory responsibility for the proper control of the finances of the University.

2.2. The Financial Regulations translate into practical guidance for the University's broad policies relating to financial control. The Regulations apply to all activities of the University and to all its subsidiary companies.

2.3. The primary objective of the Regulations is to ensure the proper use of finances and resources in a manner which satisfies the University’s requirements for accountability, internal control, and management of financial risk, and also fulfils any legal or financial obligations laid down by the Kenya Revenue Authority (KRA) and other government authorities.

2.4. The Regulations do not extend to non-financial activities of the University, nor are they a definitive statement on the governance of the University.

2.5. These financial regulations are subordinate to the University’s Charter and Statutes.

2.6. Compliance with the Financial Regulations is compulsory for all staff connected with the University. A member of staff who fails to comply with

219 the Financial Regulations may be subject to disciplinary action under the University’s disciplinary policy.

2.7. Members of the University Council and University Committees, including those who are not employees of the University, are expected to behave in a manner consistent with these regulations particularly with respect to the principles of good conduct, conflicts of interest and register of interests. All employees must comply with these regulations irrespective of their role with the University, or location. The regulations cover all the elements of income and expenditure of whatever nature and all assets and liabilities of the University, irrespective of their value or nature.

2.8. It is the responsibility of heads of schools and other budget units to ensure that their staff are made aware of the existence and content of the University’s Financial Regulations and that an adequate number of hard copies are made available to them for reference.

2.9. The University’s detailed financial policies and procedures set out in more detail how the regulations will be implemented and are contained in a separate Financial Handbook. It is the responsibility of all staff to ensure that, if in doubt as to the interpretation of regulations or procedures, they refer to their heads of schools and other budget units or to a senior member of staff within the Finance Division. It is the responsibility of all staff to notify the Executive Director of Finance where there are grounds to suspect any breach of these Financial Regulations. Where such a breach is reported the Executive Director of Finance will advise the Management Board. Where a serious or recurrent breach of the Financial Regulations has occurred the Executive Director of Finance will decide on the further action to be taken including the involvement the Chair of the Finance Committee of the University Council.

2.10. In cases where fraud is suspected the Management Board shall request the Chief Internal Audit and Compliance Officer to carry out a thorough investigation and report to the Management Board and the University Council

2.11. The Executive Director of Finance is responsible for reporting any known breaches of the University's Financial Regulations to the Finance Committee; additionally, any significant breach will be notified to the Management Board and to the University Council. Finance Committee

3 FINANCIAL CONTROL

University Council

3.1 The University Council is responsible for the governance, management and regulation of its affairs including those relating to financial matters, accounts, investments, property, borrowings, contracts, legal proceedings

220 and the appointment of principal officers of the University. Its financial responsibilities are to:

(a) ensure the solvency of the University (b) safeguard the University’s assets (c) ensure the effective and efficient use of resources (d) ensure that the funds provided by donors are used in accordance with the terms and conditions specified in the University’s Financial Memorandum with the funding agency. (e) ensure that financial control systems are in place and are working effectively (f) ensure that the University financial statements are in compliance with the International Financial reporting standards, the University Charter and other relevant Statutory obligations. (g) approve the University’s strategic plan (h) approve annual estimates of income and expenditure and to approve the annual financial statements (i) appoint the University’s internal and external auditors (j) appoint the University’s bankers.

3.2 In carrying out the above responsibilities the University Council governs, manages and regulates the finances, accounts, investments, property, business and all affairs of the University. It has power to invest monies belonging to the University and to sell, buy, exchange, lease and accept leases of land and personal property. It may also borrow money on behalf of the University.

Committee Structure

3.3 The University Council has ultimate responsibility for the University’s finances, but delegates this to the committees and the officers detailed below. These committees are accountable to the University Council.

University Management Board

3.4 Consideration of the University’s medium-term and strategic plans is undertaken by the Management Board. It is responsible for ensuring that all the financial implications of such plans are taken into account before their approval by the University Council. In addition, it is responsible for considering the University’s capital programme before it can be recommended to the University Council for approval. Similarly, it considers the University’s annual budgets and makes recommendations to the University Council on the allocation of resources between academic, non- academic and student services areas. The latter responsibility extends to the allocation of any surplus funds (over and above those needed to finance core recurrent activities) and the management of budget reductions which may be required.

221 Finance Committee

3.5 Monitoring of the University’s overall financial position and financial control systems is undertaken by the Finance Committee. The Committee will examine annual estimates (following consideration by the Management Board) and accounts and recommend their approval to the University Council. It will ensure that short term budgets are in line with agreed longer term plans and that they are followed. It will consider any other matters relevant to the financial duties of the University Council and make recommendations accordingly. The Committee will also ensure that the University Council has adequate information to enable it to discharge its financial responsibilities.

Audit

3.6 External auditors and internal auditors shall have authority to:

(a) access University premises at all reasonable times (b) access all assets, records, documents and correspondence relating to any financial and other transactions of the University (c) require and receive such explanations as are necessary concerning any matter under examination (d) require any employee of the University to account for cash, stores or any other University property under his/her control. (e) access records belonging to third parties, such as contractors when required.

3.7 Whenever any matter arises which involves, or is thought to involve, irregularities or fraud concerning cash, stores or other property of the University or any other suspected irregularity in the exercise of the activities of the University, the head of school or other budget unit concerned shall notify the Executive Director of Finance who will take such steps as he considers necessary by way of investigation and involvement of internal audit. Such action will include advising the University Secretary of the matter on all occasions. Where fraud is suspected the procedures set out in the University’s Fraud Policy Statement will be followed.

3.9 The Executive Director of Finance is responsible for drawing up a timetable for final accounts purposes and will advise staff and the external auditors accordingly.

3.10 The University’s annual accounts are reviewed by Finance Committee and submitted to the University Council for approval.

External Audit 3.11 The appointment of external auditors will take place every five years and is the responsibility of the University Council. The University Council will be advised by the Finance Committee

222

3.12 The primary role of external audit is to report on the University’s financial statements and to carry out such examination of the statements and underlying records and control systems as are necessary to reach their opinion on the statements and to report on the appropriate use of funds. The external auditors’ duties will be in accordance with advice set out in the prevailing Audit Code of Practice, international auditing standards and International Financial Reporting Standards (IFRS).

Internal Audit

3.13 The internal auditors are appointed by the University Council on the recommendation of Audit and Compliance Committee.

3.14 The main responsibility of internal audit is to provide the University Council, the Vice-Chancellor and the Management Board with assurances on the adequacy of the internal control systems.

3.15 The internal audit service remains independent in its planning and operation and has direct access to the University Council, the Vice Chancellor and Chair of the Audit and Compliance Committee

Executive Director of Finance

3.16 The Executive Director of Finance is the Chief Financial Officer of the University and shall be in charge of the Finance Department.

3.17 Executive Director of Finance shall have overall responsibility for financial reporting, and for formulation and application of financial strategies and policies.

*Heads of School and other budget units

3.18 Heads of school and other budget units are responsible for their own budgets. They are advised by the Executive Director of Finance and his/her colleagues within the Finance Department in executing their financial duties.

3.19 Heads of schools and other budget units are responsible for establishing and maintaining clear lines of responsibility within their school etc. for all financial matters.

3.20 Where resources are devolved within a school etc. to budget holders, they are accountable to their heads of schools or other budget units for their own budget.

223

Budgeting Resource Allocation

3.21 Resources are allocated annually by the University Council on the recommendation of the Management Board.

3.22 Heads of schools and other budget units and nominated budget holders are responsible for the economic, effective and efficient use of resources allocated to them. Budget Preparation

3.23 The Executive Director of Finance is responsible for preparing annually Recurrent and Capital budget for consideration by the Budget Advisory Committee, Management Board and Finance Committee before submission to the University Council. The budget preparation process should include detailed consideration of staffing and related costs incorporating the involvement of heads of schools and other budget units in verifying the individual approved posts for the budget year. The Executive Director of Finance must ensure that detailed budgets are prepared in order to support the resource allocation process. Heads of schools and other budget units must contribute to the determination of detailed budgets in their area and as part of the devolved budgeting process. As part of the budget preparation process, the Executive Director of Finance may organize a budget conference to provide opportunity to Heads of Schools who should consult about the budget proposal and give feedback on the final outcome of what was proposed.

3.24 During the year, the Executive Director of Finance is responsible for submitting revised forecasts to the Finance Committee for consideration before submission to the University Council for approval.

Capital Expenditure

3.25 Capital Expenditure includes the following (however financed): -

(a) the acquisition of land and buildings (and associated fees) (b) the construction of new buildings or improvements to existing buildings (and associated fees) (c) any property leases. (d) the acquisition of furniture, equipment, plant and vehicles of a value greater than Kshs. 20,000.00.

3.26 Capital expenditure on land, buildings, furniture and associated costs can only be considered following approval by the University Council.

224 3.27 The Executive Director of Finance is responsible for providing regular statements concerning all capital expenditure to the Finance Committee for monitoring purposes.

3.28 Proposed capital projects should be supported by:

(a) a statement which demonstrates the project’s consistency with the strategic plans approved by the University Council (b) an initial budget for the project for submission to Budget and Investment Committee. The budget should include a breakdown of costs including professional fees, VAT and funding sources (c) a financial evaluation of the plans together with their impact on revenue plus advice on the impact of alternative plans (d) a demonstration of compliance with normal tendering procedures and, (e) where appropriate by an investment appraisal in an approved format and a cash-flow forecast.

Following completion of a capital project, a final report should be submitted to the Management Board and the Finance Committee recording actual expenditure against budget and reconciling funding arrangements where a variance has occurred.

Financial Planning

3.29 The Executive Director of Finance is responsible for preparing annually a rolling five year financial plan for approval by the University Council on the recommendation of the Finance Committee and for preparing financial forecasts. Financial plans should be consistent with the strategic plans approved by the University Council.

Budgetary Control

3.30 The control of income and expenditure within an agreed budget is the responsibility of the designated budget holder who must ensure that day to day monitoring is undertaken effectively. Budget holders are responsible to their heads of schools or other budget units for the income and expenditure appropriate to their budget. The budget holder will be assisted in this duty by management information provided by the Executive Director of Finance.

3.31 Significant departures from agreed budgetary targets must be reported immediately to the Executive Director of Finance by the heads of schools and other budget units concerned and, if necessary, corrective action taken.

3.32 The Executive Director of Finance is responsible for supplying budgetary reports on the University’s finances to the Finance Committee on a basis determined by that Committee. These reports are produced monthly in each financial year and between meetings of the Finance Committee (which meets

225 at least 4 times a year). The reports are presented to the Vice-Chancellor, University Secretary and the Deputy Vice-Chancellors.

Virement

3.33 Virement is accepted so long as it is approved and accepted by the Management Board.

Accounting Returns

3.34 The Executive Director of Finance is responsible for consolidating and dispatching, financial returns and other periodic financial reports to the Trustees, University Council and other agencies as required.

3.35 The Finance Committee shall recommend approved audited annual financial statements of the University for each financial year, and report to the University Council accordingly.

3.36 The Chairman of the University Council and at least one other University Council Member shall sign the annual financial statements.

Accounting Records

3.37 The Executive Director of Finance is responsible for the retention of financial documents. These should be kept in a form acceptable to the relevant authorities.

3.38 Taking account of the requirements of auditors, KRA, etc., the University has adopted minimum periods for the retention of financial documents:

(a) Current year plus six previous years: - Salaries and Wages records External suppliers invoices (for VAT purposes) Invoices to external customers (for VAT purposes) Budget and Closing-down working papers General Ledger (at transaction level)

(b) Current year plus three previous years:- Petty cash records Fees and grant records Sales & Purchase Ledger records Inventories and stock records Student Financial records

226 4 INCOME AND BANKING

General

4.1 The Executive Director of Finance is responsible for ensuring that appropriate procedures are in operation to enable the University to receive all income to which it is entitled. All receipt forms, invoices, tickets or other official documents in use must have the approval of the Executive Director of Finance.

4.2 University income includes all moneys made available to individuals through the University on the basis of their association with the University e.g. research grants.

4.3 Levels of charges for contract research, services rendered, goods supplied and rents and lettings are determined by procedures approved by the Management Board and Finance Committee.

4.4 The Executive Director of Finance is responsible for the prompt collection, security and banking of all income received. He is also responsible for ensuring that all grants are received and appropriately recorded in the University’s accounts.

4.5 All University income must be paid into a University bank account promptly and be properly accounted for, and all University expenditure must be paid from a University bank account. No private bank accounts can be used to divert any moneys receivable by the University.

4.6 The Executive Director of Finance is responsible for ensuring that all claims for funds, including research grants and contracts, are made by the due date.

4.7 Budget holders are responsible for ensuring that the Executive Director of Finance is informed promptly of all income due to the University and should provide such information as the Executive Director of Finance requires for the purposes of collecting such income. All requests for moneys due should be rendered on official invoices issued through the Finance Department.

Appointment of Bankers

4.8 Finance Committee shall make proposals to appoint or remove University Bankers to the University Council for approval.

Banking Arrangements

4.9 The Executive Director of Finance is responsible, on behalf of Finance Committee, for liaising with the University’s bankers in relation to its bank accounts and the issue of cheques. All cheques shall be ordered on the

227 authority of the Executive Director of Finance who shall make proper arrangements for their safe custody.

4.10 The setting up of University bank accounts, other than imprest accounts, including the mandate for each account and subsequent changes to the mandate, must be approved by the Management Board.

4.11 All cheques drawn on behalf of the University must be signed in accordance with the authorization procedures approved by the Finance Committee. Details of authorized persons and limits shall be provided for in the University’s Financial Policies and procedures. 4.12 The Executive Director of Finance is responsible for ensuring that all bank accounts are subject to regular reconciliation. The approval of the Management Board is needed in advance for the setting up of any University charge or credit cards.

4.13 The approval of Management Board is required for installation of new ICT technology for handling cash transactions such as Automated Teller Machines (ATM), Pay net or similar facilities.

Cash Receipts

4.14 Only cashiers are authorized to receive payments on behalf of the University.

4.15 No deductions may be made from any cash collected on behalf of the University prior to depositing same into the bank. Cash/cheques received during the day must be banked the following day except for Friday/Saturday collections that must be banked by Monday of the following week.

4.16 Personal or other cheques must not be cashed out of money received on behalf of the University.

The Collection of Debts

4.17 The Executive Director of Finance should ensure that: (a) debtors’ invoices are raised promptly in respect of income due to the University

(b) debtors’ invoices are raised on official University invoices

(c) swift and effective action is taken to collect overdue debts in accordance with the institution’s formal procedures (detailed in the Procedures Manual)

(d) Outstanding debts are monitored and reports are prepared for managers.

228 4.18 The Executive Director of Finance is responsible for implementing credit arrangements and indicating a period in which different types of invoice must be paid.

4.19 Requests to write-off debts must be in accordance with the University credit control procedure.

Student Fees

4.20 The procedures for collecting tuition and other fees must be approved by the Executive Director of Finance. He is responsible for ensuring that all student fees due to the University are received. All students must pay the requisite fees deposits before enrolling/attending any SU course.

4.21 Any student who fails to settle accounts presented to him/her, whether such accounts arise as a consequence of damage to or loss of property or relate to tuition fees, or the provision of other University services, shall be subject to one or all of the following sanctions:-

(a) withdrawal of access to lectures, library and IT facilities (b) exclusion from the University and examinations (c) withholding of awards of degree or any diploma, certificate and qualification from the University (d) exclusions from re-admissions to any future course/s

4.22 The withdrawal of access to library and IT facilities will apply until all outstanding debts have been cleared. Failure to clear such debts will affect the application of the remaining sanctions and where these are applied such students should be prevented from re-enrolling at the University and from using any of the University’s facilities.

Gifts, Benefactions And Donations

4.23 The Executive Director of Finance is responsible for maintaining financial records in respect of gifts, benefactions and donations made to the University and initiating claims for recovery of tax where appropriate.

5 RESEARCH GRANTS AND CONTRACTS

General

5.1 Research can be defined as investigation, undertaken to gain new knowledge and understanding, which may be directed towards a specific aim or objective.

5.2 The term ‘research grant’ is restricted to research projects funded by the Strathmore University Research Endowment fund or through annual budgetary allocation.

229

5.3 All other externally financed research projects are classified as ‘research contracts’.

5.4 Where approaches are to be made to outside bodies for support for research projects or where contracts are to be undertaken on behalf of such bodies, it is the responsibility of the heads of schools and other budget units to ensure that the financial implications have been appraised by the Executive Director of Finance.

5.5 The Executive Director of Finance and the Deputy Vice-Chancellor in charge of research are responsible for examining every formal application for a grant and shall ensure that there is adequate provision of resources to meet all commitments. The Executive Director of Finance and the Deputy Vice- Chancellor responsible for research should ensure that the full cost of research contracts is established. The research agreement must be in line with the University’s policy with regard to indirect costs and other expenses and take account of different procedures for the pricing of research projects depending on the nature of the funding body.

5.6 Research grants and contracts shall be accepted on behalf of the University by the Deputy Vice-Chancellor responsible for research following consultation with the head of school or other budget unit.

5.7 The Executive Director of Finance shall maintain all financial records relating to research grants and contracts and shall initiate all claims for reimbursement from sponsoring bodies by the due date.

5.8 Each grant or contract will have a named supervisor or grant holder and will be assigned to a specific account number within a school etc.

5.9 Control of expenditure will be contained within the approved budget. The head of the school or other budget unit may delegate day to day control of the account to a supervisor or grant holder, but any overspending or under- recovery of overheads is to be the clear responsibility of the school etc. with any loss being a charge on school funds.

Additional Payments to Staff

5.10 Proposals for the funding of research grants and contracts should not involve additional payments to staff as such arrangement are not currently permitted.

Private Consultancies and other Paid Work

5.11 Unless otherwise stated in a member of staff’s contract: (a) Outside consultancies or other paid work may not be accepted without the consent of the heads of schools or other budget units (and in the

230 case of the head of the school, the Vice-Chancellor); such activity maybe channelled through Strathmore University Research & Consultancy Centre.

(b) Applications for permission to undertake work as a purely private activity must be submitted to the heads of schools and other budget units or Vice-Chancellor through the Head of department, as appropriate, and include the following information:

i) the name of the member(s) of staff concerned ii) title of the project and a brief description of the work involved iii) the proposed start date and duration of the work iv) full details of any University resources required v) an undertaking that the work will not interfere with the teaching and normal University duties of the member(s) of staff concerned.

5.12 Where work is to be undertaken in a private capacity, members of staff must make it clear to prospective customers that the University is not involved and is not therefore responsible for the quality of service provided or the fulfilment of the terms of the engagement. Members of staff undertaking such work are personally responsible and liable for any claims made against them and must therefore make any arrangements to secure professional indemnity insurance.

Intellectual Property Rights and Patents

5.13 Certain activities undertaken within the University, including research, may give rise to ideas, designs and inventions which may be patentable. These are collectively known as intellectual property (IP).

Intellectual Property Rights

5.14 The University’s intellectual property procedures are contained in the University’s detailed Procedure Manual.

5.15 Deputy Vice-Chancellor responsible for research shall establish procedures to deal with the protection of any inventions and discoveries made by staff in the course of their research.

6 EXPENDITURE

General 6.1 The Executive Director of Finance is responsible for making payments to suppliers of goods and services to the University.

231 Authorities

6.2 For better management all purchases above Kshs.30, 000/=shall be centralized in the Procurement Department

6.3 The Procurement Department shall maintain a register of authorised signatories to sign purchasing orders.

6.4 The authorised member of staff (or budget holder) certifying the invoice for payment must be different from the member of staff responsible for signing the order form or LPO.

Petty Cash

6.6 Where a single item is for less than kshs.30, 000.00 it can be paid from a petty cash if possible. It must be supported by receipts or vouchers where available.

6.7 The Executive Director of Finance shall make available to schools etc. such imprests as are considered necessary for the disbursement of petty cash expenses.

6.8 Requisitions for reimbursement must be sent to the Executive Director of Finance, together with appropriate receipts or vouchers, before the total amount held has been expended, in order to retain a working balance pending receipt of the amount claimed.

6.9 A member of staff granted a float is personally responsible for its safe keeping. The petty cash box must be kept locked in a secure place in compliance with the requirements of the University’s insurers when not in use, and will be subject to periodic checks by the head of school or budget unit, or Executive Director of Finance. Float holders with ATM accounts will keep the ATM cards and PIN numbers secure.

6.10 Standard petty cash records shall be maintained by all float holders in such format as may be directed by the Executive Director of Finance.

6.11 At the end of the financial year cash count should be carried out by the member of staff responsible for the float and countersigned by the head of school or other budget unit in the presence of an auditor.

Purchase Orders 6.12 The ordering of goods and services shall be in accordance with the University’s detailed procurement and contracting policy and procedures.

6.13 Official University Purchase Order must be used for the purchase of all goods or services, except those made using petty cash.

232 6.14 When transferring goods or services between schools etc. an interdepartmental transfer form must be used.

6.15 It is the responsibility of the Executive Director of Finance, through the University’s Procurement Department, to ensure that all purchase orders refer to the University’s conditions of contract. Tendering

6.16 Subject to special rules imposed by funding bodies, the University’s tendering procedures outlined in the detailed procurement and contracting policy and procedures shall be applicable. Contracts 6.17 All contracts will attempt to ensure best value for money and conditions of contract for the purpose of goods and services will be followed as described in the University’s legal procedure.

6.18 Building contracts are the responsibility of the Management Board and are administered by the University’s Project Management Unit.

6.19 Proposals will normally be initiated by the Director of Estates & Physical Planning in respect of planned replacements, general improvement schemes, space planning or in response to requests from schools etc.

6.20 Consultants may be appointed if the project, as determined by Management Board, is too large or too specialized for Estates & Physical Planning Department. Appointments shall be subject to tendering and other procedures where appropriate.

6.21 Proposals shall be presented in the form of costing or investment appraisals as appropriate for Estates & Physical Planning Department.

6.22 Following consideration by the Management Board, submissions should be forwarded to the Finance Committee for approval.

6.23 All contracts will attempt to ensure best value for money.

6.24 Conditions of contract for the purchase of goods will be followed as described in the University’s Procurement and contracting policy and procedures.

Payment of Invoices/certificates and demand notes

6.25 The procedures for making all payments shall be in a form specified by the Executive Director of Finance.

6.26 The Executive Director of Finance is responsible for deciding the most appropriate method of payment for categories of invoice.

233 6.27 Suppliers should be instructed by the budget holder to submit invoices for goods or services supplied or provided to the school etc. concerned for certification of payment.

6.28 Heads of schools and other budget units are responsible for ensuring that expenditure within their school etc. does not exceed funds available.

6.29 Payments will only be made by the Executive Director of Finance against invoices which have been certified for payment by the appropriate authorised signatories as notified to the Finance Department. Certification of an invoice will ensure that: (a) the goods have been received, examined and approved with regard to quality and quantity, or that services rendered or work done is satisfactory (b) where appropriate, it is matched to the purchase order (c) invoice details (quantity, price, discount) are correct (d) the invoice is arithmetically correct (e) the invoice has not previously been passed for payment (f) where appropriate, an entry has been made on a stores record or departmental inventory (g) an appropriate cost centre is quoted. This must be one of the cost centre codes included in the budget holder’s areas of responsibility and must correspond with the types of goods or service described on the invoice.

6.30 Invoices must be passed to the Finance Department as soon as they have been certified. Care must be taken by the budget holder to ensure that discounts receivable are obtained.

7 SALARIES AND WAGES

General 7.1 The Executive Director for Human resources is responsible for all payments of salaries and wages to all staff including payments for overtime or services rendered. All time-sheets and other pay documents, including those relating to fees payable to external examiners, visiting lecturers or researchers, will be in a form prescribed or approved by the Executive Director for Human Resources.

7.2 All University staff will be appointed to the salary scales approved by the University Council and in accordance with appropriate conditions and terms of service. All letters of appointment must be issued by the Human Resources Department. The Executive Director for Human Resources is responsible for keeping the Executive Director of Finance informed of all matters relating to personnel for cash flow management.

7.3 In particular these include:

234 (a) appointments, resignations, dismissals, supervisions, secondments and transfers; (b) absences from duty for sickness or other reason, apart from approved leave (c) changes in remuneration other than normal increments and pay awards; (d) information necessary to maintain records of service for superannuation or retirement, income tax, national health insurance etc.

7.4 The Executive Director for Human Resources is responsible for payments to non-employees (such as occasional lecturers) and for informing the appropriate authorities of such payments where necessary. All casual and part-time employees will be included on the payroll.

7.5 The Executive Director for Human Resources shall be responsible for keeping all records relating to payroll including those of a statutory nature.

7.6 All payments must be made in accordance with the University’s detailed payroll financial procedures and comply with KRA regulations.

Superannuation

7.7 The University Council is responsible for undertaking the role of employer in relation to appropriate pension and retirement arrangements for employees.

7.8 The Executive Director for Human Resources is responsible for day to day superannuation matters including:

(a) Paying of contributions to various authorised superannuation schemes; (b) Preparing the annual return to various superannuation schemes; (c) Administering the University’s pension fund (Provident Fund).

Travel, Subsistence and Other Allowances

7.9 All claims for payment of subsistence allowances, travelling and incidental expenses shall be completed in a form approved by the Executive Director for Finance.

7.10 Claims by members of staff must be certified by their heads of schools and other budget units or delegated budget holder in line with the limits outlined in the University Policy on travelling allowances/Per-diems. The University Secretary or DVC for Academic& Student Affairs must certify claims made by heads of schools and other budget units heads. The certification by the heads of schools and other budget units shall be taken to mean that the journeys were authorized, the expenses properly and necessarily incurred and that the allowances are properly payable by the University.

235

8 ASSETS

Land, Buildings, Fixed Plant and Equipment

8.1 The purchase, lease or rent of land or buildings or fixed plant can only be undertaken with authority from the University Council.

8.2 The Executive Director of Finance is responsible for maintaining the University’s (fixed asset) register of land, buildings, and equipment. The Executive Director of Finance is responsible for ensuring that capital equipment or machinery purchased from school or other budgets is recorded in the University’s fixed asset register.

Inventories

8.3 The inventory of fixed assets shall be maintained in accordance with the University Fixed Asset Policy and Procedures. The inventory of consumables shall be maintained as per the inventory policy and procedure.

8.4 The inventory must include items donated or held on trust.

8.5 The Executive Director of University Services is responsible for establishing adequate arrangements for the custody and control of stocks and stores within the schools etc. The systems used for stores accounting in schools etc. must have the approval of the Executive Director of Finance.

8.6 Executive Director of Finance is responsible for ensuring that regular inspections and stock checks are carried out. Stocks and stores of a hazardous nature should be subject to appropriate security checks.

Asset Disposal

8.7 Disposal of equipment and furniture must be in accordance with Fixed Asset Policy and Procedures.

8.8 Disposal of land and buildings must only take place with the authorization of the University Council in consultation with the Board of Trustees. Investments and Borrowings

8.9 The Finance Committee is responsible for approving a treasury management policy statement setting out a strategy and policies for cash management, long term investments and borrowings. The Management Board has a responsibility to ensure implementation, monitoring and review of such policies.

8.10 All borrowings by the University must be approved by the University Council.

236

Risk Management

8.11 The University shall manage its risks in accordance with its Risk Management Policy.

8.12 The Executive Director of Finance is responsible for affecting insurance cover to cover all the necessary and insurable risks. The insurance covers shall be obtained in accordance with the University Procurement and Contracting Policy and procedure.

8.13 Heads of schools and other budget units must ensure that any agreements negotiated within their areas with external bodies cover any legal liabilities to which the University may be exposed. The advice of Executive Director of Finance should be sought to ensure that this is the case. Heads of schools and other budget units must give prompt notification to the Executive Director of Finance of any potential new risks and of additional property and equipment which may require insurance and any alterations affecting existing risks.

8.14 Heads of school and other budget units must advise the Executive Director of University Services immediately of any event which may give rise to an insurance claim. The Executive Director of University Services will notify the University’s insurers and, if appropriate, prepare a claim in conjunction with the heads of school or other budget unit for transmission to the insurers.

8.15 The Executive Director of Finance will keep a register of all insurances affected by the University and the property and risks covered.

Taxation

8.16 The Executive Director of Finance is responsible for advising heads of schools and other budget units, in the light of guidance issued by the appropriate bodies and relevant legislation as it applies, on all taxation issues, to the University. He/she will issue instructions to schools etc. on compliance with existing tax regulations.

8.17 The Executive Director of Finance is responsible for maintaining the University’s tax records, making all tax payments, receiving tax credits and submitting tax returns by their due date as appropriate.

237 SCHEDULE XIII: GUIDELINES FOR DEVELOPMENT CAMPAIGN MANAGEMENT

1 DEVELOPMENT CAMPAIGN ORGANIZATION

1.1 To operate as a fully chartered university, Strathmore University recognizes that it must constantly address new needs. Thus the University intends to embark on a far-reaching development campaign to specify, quantify, and prioritize its needs and to develop and to generate sufficient financial support to meet these needs.

1.2 To assure the best outcome from such a campaign, it is well for the conceptualization, preparation, and execution of the campaign and for the organization of the campaign’s leaders, staff, friends, and volunteers to be guided by certain understandings.

1.3 Strathmore University contemplates a development campaign in a format familiar in some developing counties but new to Kenya and the region. The campaign will consist of a planning phase and an operational phase. It will be conducted over several years and will require participation, cooperation, and engagement of all the University’s individual and institutional friends everywhere to an unprecedented degree.

1.4 In the planning phase a comprehensive list of needs (a “priorities list”) will be determined, quantified, and prioritized. This will be followed by an estimate of possible financial individual and institutional sources (a “sources list”) to provide for the list of needs. The practicality of these lists will then be tested in consultations with friends, experts, and potential donors. The plans will then be modified to balance the University’s desires with the plan’s practical prospects. Once the modified plan is determined to be practical and possible, it is to be formally approved.

1.5 Following the planning phase, the operating phase will implement the plan. Specific organizational arrangements may be needed to facilitate the plan’s implementation.

2 INSTITUTIONAL COLLABORATIONS

2.1 Strathmore University seeks useful linkages and collaborations with other institutions that Strathmore can serve well and that can help the University advance its goals. In developing such linkages and collaborations, the University will generally prefer to work with institutions that are:

(a) Of good reputation (b) Leaders in their fields (c) Clear in their stated goals (d) Forthright in their actions (e) Engaged in pursuits or policies not inimical to Strathmore’s corporate values

238

2.2 The responsibility for ensuring this policy will rest with the Management Board, which will, from time to time, review the University’s compliance.

3 CODE OF ETHICS AND OPERATING PRINCIPLES

3.1 Consistent with best practices of leading international non-profit institutions, the University has developed and here adopts a general code of ethics and operating principles. The University undertakes to review its policy from time to time as appropriate.

3.2 Strathmore University as a not-for-profit secular educational institution abides by high-minded corporate values that are rooted in the Magisterium of the Roman Catholic Church, and rigorously respectful of individual free will. Centred on the ideal of individual sanctification of work through personal excellence in all endeavours, these corporate values include:

(a) Respect for the worth and dignity of all individuals (b) Inclusiveness and social justice (c) Respect for pluralism and diversity (d) Belief in natural law (e) Compliance beyond the requirements of legislated law (f) Commitment to the public good (g) Accountability to the public (h) Transparency, integrity and honesty (i) Responsible stewardship of resources (j) Commitment to excellence and to maintaining the public trust.

3.3 As a not-for-profit educational organization, the University strives to conduct its affairs according to a declared code of organizational ethics.

3.4 Individual members of the University are expected to act with honesty, integrity, and openness. Strathmore University as an organization seeks to promote respect, fairness, and integrity.

3.5 The mission of the University is to be clearly stated, faithful to the University’s basic principles, responsive to the University’s constituencies, and of value to society.

3.6 Governance of the University will strive to assure that: (a) The University’s leaders and staff have sufficient skills and experience (b) Conflicts of interests, real or perceived, are avoided (c) Sufficient managerial information is readily and openly available (d) All transactions are undertaken with honesty and integrity (e) All working relationships are fair, open, and respectful (f) All operating policies are clearly stated and formally adopted (g) All resources are prudently managed (h) The organization has sufficient capacity to be effective

239

3.7 In its stewardship of financial resources, the University will strive to assure that: (a) A reasonable majority percentage of its budget is dedicated to its programs (b) An adequate amount of its budget is allocated for good administration (c) Compensation for paid staff is reasonable and appropriate (d) Fundraising costs are reasonable (e) Surplus operating funds are not excessively accumulated (f) Endowment funds are prudently utilized (g) Spending is fair, reasonable, and appropriate

3.8 In accounting for and reporting its activities, the University will strive to assure that:

(a) Timely information is available for all (b) The University is responsive to all reasonable requests (c) Basic information is readily available to the public (e.g., via website) (d) Its financial reports are accurate, complete, available, and easy to understand (e) Its accounts will be audited by professionals of international standards

3.9 In evaluating its performance and achievements, the University will: (a) Conduct regular reviews of its effectiveness (b) Be committed to continuing improvement and learning (c) Be responsive to positive changes in its fields of endeavour and to the needs of its constituents

3.10 In fundraising, the University will strive to assure that: (a) Its solicitation materials are truthful (b) Donors’ rights are honoured

4 NEW PROGRAMMES AND PROJECTS

4.1 Aspiring to be a world-class university, Strathmore University seeks to encourage and support new projects and programs.

4.2 Especially for projects or programs that would require management time, financial commitments, or other resources that would use the University’s name or that would directly bear on the University’s reputation, certain specific aspects should be considered. New projects and programs should be considered for:

(a) Actual requirement of resources (b) Legacy commitments, i.e., enduring operating expense requirements (c) Strategic and operating coherence (d) Relation to the University’s priorities (e) Ability to contribute to the University’s goals

240 (f) Opportunity for the University to be of service (g) Compatibility with the University’s corporate values.

5 ALUMNI PARTICIPATION

5.1 Strathmore University alumni have an important role to play in the advancement of the University. The organization, cultivation, and participation of the alumni in the University’s development campaign therefore should follow particular principles.

5.2 The University’s alumni are to be encouraged to: (a) Freely organize Alumni Associations at local, regional, national, and international levels (b) Identify, cultivate, and promote areas of mutual interest with other alumni (c) Work with the University to identify, develop, and articulate matters of concern and interest for the alumni at the University.

5.3 The University in turn undertakes to support its alumni by: (a) Establishing an office for alumni affairs within its administration (b) Organizing opportunities and events for alumni to gather with each other and members of the University administration (c) Helping the alumni develop a leadership corps (d) Developing means by which the alumni can perpetuate an organization and extend their involvement in it (e) Actively including alumni in the development efforts of the University (f) Generally considering all other ways in which to add value to the alumni’s relationship with the University.

6 DONORS

6.1 As the University embarks on a large development campaign, it expects to solicit many new donors. The University recognizes that a contribution from a donor constitutes a kind of relationship with that donor.

6.2 Generally speaking, the University will prefer to receive support from donors who are: (a) Of good reputation (b) Of respectable integrity (c) Of clear, honest, and transparent intent (d) Not encumbered by unduly partisan political considerations (e) Not setting unduly restrictive conditions for their contributions (f) Not inimical to the University’s corporate values

241 7 EXTERNAL RELATIONS

7.1 As the University embarks on its development campaign, the manner in which it presents itself in the marketplace of individual and institutional donors will be important. Contact with all outside individuals and agencies for development purposes should, for the sake of organizational integrity, harmony, and consistency, adhere to certain guidelines, such as:

(a) Consistency of Strathmore Vision and Mission. (b) Avoidance of marketplace confusion and donor contact “fatigue” (c) Coordination for best possible impact (d) Nature, quality, and professionalism of contact

7.2 The responsibility for ensuring these guidelines will rest with the Management Board which will establish procedures for coordinating University activity in this regard.

8 FUNDS INVESTMENT

8.1. Aspiring to be a world-class university, Strathmore University seeks to manage its financial resources in a prudent and responsible way consistent with the goals of the University and in harmony with its corporate values.

8.2 The Finance Committee will determine and ensure a policy for the University’s investment funds. A University investment policy will consider and direct activity on all matters of financial and asset management, including but not necessarily limited to:

(a) The University’s institutional risk preferences (b) Long term investment objectives, including capital planning (c) Optimization of risk versus return (d) Investment asset allocation, including by asset classes, asset locations, asset sizes, and asset sectors. (e) University use of specific investment instruments (f) Determination of investment management approach (i.e., active versus passive management) (g) Selection of investment advisors (h) Determination of maximum expendable returns (i) The suitability of certain specific investments or investment sectors

8.3 The Finance Committee will review and revise the University’s investment policy from time to time, as appropriate.

242 SCHEDULE XIV: QUALITY ASSURANCE AND ENHANCEMENT POLICY

1 SCOPE OF THE POLICY

This policy statement summarises the University's approach to the maintenance of academic standards and to the assurance and enhancement of the quality of learning opportunities offered to students. It provides an overview and points to the policies and procedures which provide a framework within which Faculties and Schools operate.

2 GUIDING PRINCIPLES

2.1 We seek to establish policies which identify the minimum University-wide requirements with which all Faculties and Schools are expected to comply but which can be augmented at the local level to provide greater specificity in order to accommodate different disciplinary requirements.

2.2 These policies are intended to provide a framework to ensure consistency of standards, consistency and equivalence in the student experience and to assure a high quality education whilst enabling appropriate diversity in local practices. 2.3 The University’s policies and procedures for developing and maintaining academic standards and for assessing and enhancing the quality of learning opportunities are determined through its governance and administrative structures. University Faculties and Schools are responsible for their implementation. Faculty Boards are expected to monitor and ensure that the respective Schools do this effectively.

2.4 The key quality assurance and enhancement procedures benefit from the participation of external peer reviewers invited by the University. Policies and procedures take account of appropriate external reference points and national and international good practice.

3 THE RELATIONSHIP BETWEEN TEACHING AND RESEARCH IN THE UNIVERSITY

3.1 Strathmore University aspires to be a research-intensive University. Research is a major component of quality teaching. We aspire to ensure that our teaching is informed by cutting-edge research and that it takes place in a research-enriched environment.

3.2 Research Scholarship in teaching also enhances quality teaching as teaching is informed by the best practices in the profession.

4 STRATHMORE UNIVERSITY QUALITY AND ASSURANCE AND ENHANCEMENT SYSTEM

4.1 Integrated Quality Assurance Framework

243 (a) The University has put in place quality management systems that promote quality enhancement by identifying and specifying measurable quality indicators to be used for self and external assessment. The integrated quality assurance framework aims to combine quality compliance with quality enhancement by judging whether there has been an improvement in quality through an evidence based system.

(b) The integrated framework allows the University to carry out internal self-assessment at program level, institutional level, and quality of the University’s quality assurance system itself. This is to be done by looking out for evidence in functions that affect quality such as admissions, facilities, recruitment and capacity building processes, teaching, learning and curriculum development, student services, examinations, research, among others. Evidence is gathered through internal audits or annual self-assessment, performance appraisal of staff, customer surveys, student experience surveys, benchmarking or destination surveys of students. These functions are grouped into inputs, process and outputs supported with appropriate controls (see figure 1)

244

Figure 1:- Strathmore University Integrated Quality Management Framework

4.2 Academic Standards

(a) Academic standards for programs are established and maintained through the University’s Guidelines for Curriculum Development and Management. These guidelines detail the design, structure, volume and level of credits for programs leading to University awards, together with the progression and award framework applicable to these programs.

(b) Schools shall be required to undertake continuous monitoring of programme delivery through regular course evaluation by students and lecturers in order to evaluate the success in meeting the teaching and learning objectives, and to enhance the teaching and learning performance.

245

4.3 Approval, Monitoring and Review of Programs

(a) The University has a formal mechanism for the approval of new academic programs and changes to the existing curriculum which is set out in the Guidelines for Curriculum Development and Management already mentioned. This includes key issues to be taken into account in program design and guidance on approval criteria. Schools shall be expected to set appropriate learning and teaching objectives and adhere to these guidelines when designing or reviewing academic programs.

(b) The formal procedures for the annual monitoring and for regular review of programs are set out in the Guide to Quality Assurance in Teaching and Learning. This procedural document sets out the aims and criteria for the review, specifies issues to be addressed in a self- evaluation document by the subject area under review, and indicates the documentary requirements of the review panel. The regular subject review process comprises a developmental and strategically focused model of review (rather than a historically driven audit model). One of its principal aims is also to ensure the continuing validity and relevance of the programs on offer and to confirm their academic standards with reference to appropriate external reference points.

(c) Schools should review teaching, learning and assessment activities including curriculum content and design, annually based on feedback from students, lecturers, external examiners and other academics, industry and the educational market analysis. They should carry out a comprehensive program reviews every five years.

4.4 Assessment of Students

(a) The University has established University-wide, requirements and policies in order to underpin the standards of its awards and in order to ensure fair, valid and robust assessment of its students. There is a single classification system in operation across the University for all Undergraduate Degree Programs delivered by the University.

(b) Full and comprehensive details of the University's progression and classification rules, and of the University-wide arrangements and rules for internal examination of taught programs, are set out in the in the Guidelines for Curriculum Development and Management; and in the examination guidelines provided by the Examinations Services Office. The examination guidelines are updated annually and are distributed to all internal and external examiners. The University website is used as the principal medium for dissemination of this information.

246 Discipline-based assessment criteria must be published to students by respective faculties.

(c) Schools should involve external examiners in the evaluation of assessment processes and take into consideration their reports in the annual review of teaching, learning and assessment activities, and curriculum content.

4.5 Management of Doctoral Degrees

The arrangements for all processes governing the selection of students and supervisors, supervision requirements and arrangements for annual progress and review are set out in the Regulations for PhD Studies which shall be updated annually and published to research students by the School of Graduate Studies.

4.6 Quality Assurance of Academic Staff

(a) The University is committed to attracting and appointing scholars who are capable of excellence in teaching and research and who support the core University values of teaching and learning.

(b) It shall be a mandatory requirement for new members of academic staff (on full or proportional contracts) with less than three years' full- time teaching experience to undertake and complete a Postgraduate Diploma in academic practice. Schools shall be expected to facilitate the participation of lecturers in structured practice-oriented academic development programs organised by the University to enhance their capabilities in the practice of teaching.

(c) The University has instituted teaching excellence awards to promote innovation and scholarship in the practice of teaching.

(d) Schools should ensure that newly appointed lecturers are assigned professional mentors. The Schools should also have in place mechanisms for involving lecturers in peer review exercises to help each other in course delivery process.

(e) Academic staff new to research degree supervision shall be required to undertake an intensive introductory training for new supervisors. A series of academic-led seminars on aspects of supervision and examination are also provided for existing supervisors.

(f) Appraisal of performance of academic staff shall be conducted annually. The University's performance management scheme incorporates the requirement for each School, in collaboration with the Human Resources Department, to have in place an appraisal policy

247 which identifies arrangements for appraisers, time-tables for appraisal training and conduct of appraisal meetings. Performance appraisals of lecturers shall be carried on annual basis.

4.7 Human Formation of Staff

(a) The teacher has the important function of being a role model and a moral mentor for the students. The University needs teachers dedicated to the integral formation of their students - with a clear concept that education has to respond to the needs and demands of the human person - the intellectual, aesthetic, technical, moral and religious demands and other needs.

(b) The University’s Human Resources Office shall plan and organise staff formation seminars on a yearly basis, with the aim of not only imparting knowledge but especially human virtues.

4.8 Selection of Students

The quality of the student at admission is a principal input in the provision of quality education. The University is interested in attracting, recruiting and retaining students who in addition to possessing high academic ability also possess human attributes that would enable them to benefit from the integral education it provides. For this reason the University administers a written entrance test and oral interview to all applicants who meet the minimum university entry requirements set out by CUE and the cut-off grades for entry into the various programs of the University. Only applicants who pass the entrance test at the required level as specified for various programs are admitted into those programs if they in addition pass the oral interview.

4.9 Learning Resources

(a) Schools shall be expected to provide all required teaching and learning resources for delivery of the programs under their jurisdiction, and meet the learning and teaching objectives.

(b) The adequacy of learning and teaching resources to support new and existing programs shall form part of the program review and approval process. Library resources for learning and teaching shall be prioritised, acquired and managed on the basis of notification of new demands which arise through the program review and approval process.

(c) ICT resources to support learning and teaching shall be monitored and updated throughout the year, with major changes such as the upgrade of computers and changes to computer software taking place at the beginning of each academic year.

248

(d) Each academic year, ICT Services Department shall conduct a review of the applications software which includes new software identified from the course and program review and approval processes. The list of proposed application software for the following year shall be agreed and published and provision updated as a result of this review.

(e) There shall be annual review of teaching and learning resources which are available to support teaching and learning, which shall include evaluation of the effectiveness of the Library and the IT Services, which shall include customer satisfaction surveys and usage statistics.

4.10 Student Mentoring

(a) The mission of Strathmore University is to provide integral education in an atmosphere of freedom and responsibility. Integral education boils down to character formation, or more precisely education in human virtues. Personal mentoring of students is essential for the integral education of students because it contributes to their personal growth and human formation. Personal mentoring shall be a mandatory requirement for all undergraduate students enrolled in the University.

(b) Each School shall work in collaboration with the Student Mentoring Services Department to ensure that every student enrolled in the School is assigned a personal mentor, whose principal role is to provide individual and personalised advice and guidance to the student in a variety of issues that affect student life in the University ranging from academic to campus life, personal development, and career planning, and so on.

(c) The Student Mentoring Services Office will provide all mentors and the students with a mentoring manual to guide them. The Head of Student Mentoring services shall monitor on a continuous basis, the effectiveness of the mentoring process and give monthly reports to the Management Board and the Academic Council.

4.11 Human Standards

(a) The University provides physical and moral environment conducive to the personal growth and human formation of students by ensuring that superior human standards are upheld in maintaining cleanliness and order in the washrooms, classrooms, laboratories, library, cafeteria, offices sports field; in all the common areas and in the campus as a whole.

(b) All students and staff shall be expected to play a direct role in fostering a campus culture of fashion that promotes decency, elegance, sobriety

249 and self-restraint in the way of dressing, speaking, being. To foster a style that helps to create values and pass them on; a style proper of people with certain standards.

(c) The Quality Assurance Services Office in collaboration with the University Services Office shall monitor on a continuous basis the sustenance of human standards in the University in order to ensure that there is constant adherence and improvement.

4.12 Student Progression Statistics

(a) Schools shall carry out annual reviews of student progression data. On an annual basis, each school shall present to the Academic Council an analytical report on applications, enrolments, class attendance, usage statistics for library and ICT facilities, examination results, progression data, retention and completion data including average time to graduation, on both undergraduate and research degree students. Analyses of these data will enable the University to monitor standards and provide the University with evidence which can be used to monitor its support structures.

(b) All internal examiners shall provide course- level data on assessment outcomes to the Board of Examiners. These should be accompanied with key statistical measures, at both summary level (such range, mean, standard deviation), and also a detailed analysis distribution of marks and comparisons.

4.13 Integrated Information Management System

The University has implemented an integrated information management system comprising the Academic Management (AMS) for management of student records and processes such as admissions, registrations, course management, examinations, progression, graduation; the KUALI Financial Management System; the KOHA Library Management System; and the Moodle eLearning platform for learning management. Schools must ensure that all student records and academic transactions are processed through the AMS.

4.14 Public Information

The University shall publish information for prospective students via the University prospectus. Programme specifications published on the various school websites shall give details of the program outcomes, structure of the curriculum and the teaching, learning and assessment methods employed for all programs that are offered to current cohorts of undergraduate and taught postgraduate students.

250

4.15 Self-Assessment

(a) Quality Assurance means systematic, structured and continuous adherence to quality in terms of quality maintenance and quality improvement. An important tool in the field of quality assurance is a critical self-assessment or self-evaluation. The University’s Quality Assurance Services Office will plan, organise and coordinate self- assessment at program-level, institutional-level, and at quality assurance system level. The objective of the self-evaluation is to gather evidence of quality in the University processes in order to ascertain to what extent there is compliance with established standards and if there is improvement in quality.

(b) The University shall formulate its own standards and criteria, but will take account of the criteria formulated by statutory bodies, such as the Commission for University Education (CUE) in Kenya, and other international accreditation bodies that are of strategic relevance to the University. Also standards formulated by professional bodies must be taken into account. (c) Self-assessments shall be conducted in 5-year cycles, but may also be conducted at any time, in preparation for external evaluation by external accreditation body such as CUE.

(d) The University may invite expert peer reviewers to participate in the self-assessment process as external assessors, in order to provide opportunities for international benchmarking. The involvement of such expert peer reviewers shall be clearly defined and specified by the University.

(e) After finishing the self-assessment, the outcomes of the assessment will be compiled in a Self Assessment Report. This report should contain a description of the situation as well a critical analysis of the findings.

4.16 Internal Audit

Schools and individual lecturers shall be audited on a yearly basis to check compliance with established quality assurance procedures in teaching and learning, and in research. Similar audits will be carried out at academic support units and University Management to assess risk, to determine the utilization and availability of resources and check on the going concern of the university. These audits shall be carried out on quarterly basis targeting different departments.

251

4.17 Feedback from Alumni and Community

(a) Alumni and members of the community who wish to help the University to maintain and improve the quality of education have a very important role to play in providing input to the University based on their own experience of educational programs and their knowledge of community needs and the attributes of SU graduates. The University, Faculties, Schools and academic support units should establish opportunities for such feedback from students, staff, alumni, employers, and members of the community, who should in their turn be encouraged and urged to take advantage of these opportunities to express their views.

(b) The Quality Assurance Services (QAS) Office in collaboration with Faculties, Schools and academic support units will plan, organise and coordinate structured surveys to obtain feedback from students, staff , alumni, employers, and members of the community on the quality of education and services offered, and the quality of graduates produced by the University.

(c) In 5-year cycles the QAS Office will organise comprehensive surveys to get feedback on the performance of SU graduates in employment, their marketability in the job market, their continued brand loyalty to the University, and their observed entrepreneurial attitude, and demonstrated sustainable ethical conduct in the workplace and in the community.

4.18 International Benchmarking and Accreditation

The University shall use the outcomes of the self-assessment to gauge its performance against international ‘best practice’. The University shall put in place mechanisms for obtaining international accreditation at program and institutional level.

4.19 Annual Reports

Annual reports on the University’s activities, student progression statistics and academic staff mobility statistics, are prepared on a yearly basis (for every academic year: July- June). The annual report details all the major happenings that take place during the year in the university. A copy is sent to CUE on a yearly basis

252

4.20 Quality Assurance Handbook

The QAS Office shall prepare a quality assurance handbook containing all the policies, guidelines and procedures established by the University to maintain and enhance educational quality and standards. The handbook shall be published and made known to staff and students. It should be updated on a yearly basis and made available to staff and students on the University’s intranet.

4.21 External Quality Assessment

The statutory body responsible for regulating quality assurance in universities at a national level is the Commission for University Education (CUE). The Quality Assurance Services Office shall facilitate external assessment by CUE and other accreditation bodies invited by the University for purposes of international benchmarking and accreditation.

5 QUALITY ASSURANCE RESPONSIBILITES

The University shall put in place a quality management structure at University and School levels to provide leadership and support for the development and implementation of quality assurance and enhancement policies and procedures.

5.1 Quality Assurance Services Office

The University has established the Strategy and Quality Assurance Department. The QAS Office is a distinctive section in this Department. Its function is to coordinate, monitor, supervise and review the level of quality within all University functions. Under the leadership of its Director, QAS will be responsible for: supporting the development and review of University policies and procedures in relation to academic quality assurance and improvement ; managing, developing and maintaining the University’s quality review process; creating University-wide quality awareness through training and running workshops; carrying out annual internal self- assessment and facilitate external assessment; and advising the Management Board on matters of quality through benchmarking against quality standards

5.2 Quality Assurance Steering Committee

The QAS Office is supported by the Quality Assurance Steering Committee whose responsibility is to advise AC and MB on policies and regulations relating to quality assurance; and to provide University-level monitoring of

253 quality assurance processes. The committee will be responsible for the matters elaborated in Statute XXVII-C.

5.3 Faculties and Schools

(a) Faculties and Schools, under the leadership of the Dean, have the principal responsibility for the quality of the courses and programs under their management, in particular: the design and delivery of courses, programs and complementary out-of-class educational experiences; the evaluation and progression of students; and academic advice and mentoring. Deans of Faculties and Schools shall ensure that proposals for new programs/courses or changes to programs/courses are consistent with the University policies on curriculum development and approval of courses and programs.

(b) Faculties and Schools have the principal responsibility for the assessment of students’ learning and students’ academic progress through their program. The Deans and academic staff responsible for student assessment should be aware of the approved guidelines for course grading and the assignment of grades.

(c) Deans are also expected to establish arrangements for mentoring and advising students to support them in overcoming difficulties in their learning and to encourage them to realize their own potential.

(d) Schools should recognize and reward good practice in teaching, learning and assessment and pro-actively seek to disseminate good practice within the School and beyond; and Deans should ensure that there is adequate peer support for academic staff in their role as teachers, especially for new and inexperienced staff, and opportunities for professional development of academic staff in their role as teachers.

(e) Schools have a key role in processes for the recruitment, retention and promotion of faculty; and Deans are expected to take into account the University’s emphasis on the performance of faculty as teachers and their contribution to the educational mission of the University, and to take account of guidelines for the criteria and evidence to be used by the committees concerned with these decisions. (f) To ensure that the quality and academic standard of the school's educational provision is being maintained and improved, schools under the leadership of the Dean, are expected to:

(g) Establish Committees and other forums for academic staff responsible for courses, programs and other learning activities:(i) to review and monitor admissions and induction, the design of the curriculum and co-curriculum, the delivery of educational programs, the assessment of students, and student advising and mentoring (ii) to agree follow-up

254 action and plans for improvement as necessary and (iii) to monitor the implementation of changes for improvement

(h) Appoint a senior member of its academic staff to assist the Dean in the management of quality assurance in the School

(i) Establish arrangements for seeking feedback from students and other stakeholders and other evidence of success in achieving intended outcomes, and for taking this feedback into account in decisions

(j) Establish arrangements for benchmarking programs and students' achievements relative to international standards in line with school and University policy for external peer review.

(k) Deans of Schools shall submit Annual Reports to their Faculty Boards on undergraduate education and, to the Board of Graduate Studies on taught postgraduate programs, based on an approved template.

5.4 Faculty Board (a) Under the chairmanship of the Dean, Faculty Boards are responsible for the review and oversight of educational programs under the School and for ensuring that the University’s policies and procedures are being implemented by the school, in particular policies for the assurance and improvement of quality and the maintenance of academic standards.

(b) Faculty Boards should therefore establish arrangements to submit Annual Reports to the University’s Quality Assurance Steering Committee, and to the Academic Council, on the quality assurance and improvement of educational programs.

5.5 Learning and Teaching Services (LTS) LTS will collaborate with faculties, schools and the University’s Quality Assurance Services Office to develop systematic procedures, guidelines and evaluation processes to monitor and review performance of the quality of learning and teaching, identify quality outcomes, and recommend improvement of the teaching departments and academic programs of the University, within the premises of the University’s academic quality assurance framework. Details of the role of LTS in enhancement of quality in learning and teaching are elaborated in Statute XXII.

5.6 Academic Support Units (a) Academic support units are responsible for designing and delivering significant components of students’ educational experience, contributing to the achievement of the overall educational goals of the University, and supporting student learning and the professional development of faculty. In undertaking these responsibilities, academic

255 support units should be aware of the University’s overall educational objectives and align their own contribution to these objectives.

(b) These units should have in place processes for evaluating their work and the impact they are making to the support of teaching and student learning. This evaluation should include opportunities for staff to reflect on the work of the unit, review feedback from students, faculty and others, and consider relevant indicators of performance. These evaluations should provide the basis for plans for improvement.

(c) Academic support units should provide an Annual Report on their contributions to teaching and learning and their plans for improvement to the Registrar.

5.7 DVC-Academic& Student Affairs (a) Under the DVC, the Learning & Teaching Services Department organizes and implements each semester comprehensive student evaluation questionnaires for all sections offered in the semester and facilitates other forms of feedback on students’ educational experience.

(b) The Office of the DVC provides the principal support to the AC and other University-level committees involved in work to maintain and enhance educational quality and academic standards.

(c) The DVC shall chair the Quality Assurance Steering Committee and shall have oversight responsibility over the Quality Assurance Services Office.

5.8 Academic Council According to the University Statutes, the Academic Council is the “supreme” academic body of the University that shall plan, develop and review programs; and direct and regulate the teaching and research conducted at the University. AC exercises this authority directly and through its committees, and by establishing polices and guidelines under which Schools and Departments operate.

6 THE INVOLVEMENT OF STUDENTS IN QUALITY ASSURANCE

6.1 Students are key partners in the University’s effort to maintain and improve the quality of education. Students are encouraged to be active contributors to the University community by expressing their views and suggestions directly to their teachers through course evaluation questionnaires and surveys and through the other channels for feedback established by the University, by giving honest, well-considered feedback on the quality of

256 teaching, courses and programs, and by providing suggestions for the improvement of education at SU.

6.2 Schools shall be required to implement a Student Experience Survey. All third year undergraduate students on degree programs will be asked to complete this survey of their learning experience on their program as a whole (as opposed to individual courses) and of their opinion on non-academic services. This supplements and provides a framework for course evaluation questionnaires.

6.3 Schools are encouraged to create forums to promote dialogue between its student representatives and staff involved in the management of the School. Also, all Schools shall be required to have student/staff consultative committees, with agreed terms of reference and protocols. These provide forums in which students can raise issues of concern on courses, programs or other matters affecting their student experience.

7 THE WAYS IN WHICH POLICY IS IMPLEMENTED, MONITORED AND REVISED

The functional structures in the University provide a management framework within which implementation of policies is monitored and in which the policies themselves are regularly reviewed. Policy review and change may either be led by central administration initiatives or, frequently, through changes proposed by Schools resulting from their engagement in the processes and in the light of good practice which they demonstrate.

8 STRATEGIC APPROACH TO QUALITY

The University is committed to the continuous enhancement of quality. Rather than establishing a separate quality and enhancement strategy, the University has developed an integrated Strategic and Quality Improvement Plan which incorporates all our aspirations and targets for the development of the academic programs and improvement of the student experience for the foreseeable future. The Strategy has been developed as a result of a wide consultative process and will be revised on an annual basis in order to align with the University's Mission, and as new institutional priorities are determined. The University's Strategic and Quality Improvement Plan is the main driver for change and for systematic enhancement.

SCHEDULE XV: STUDENT FINANCIAL AID POLICIES

1 Purpose of Financial Assistance to Students

The purpose of financial aid is to provide financial assistance to students who would otherwise be unable to attend Strathmore University. The University’s financial aid programs will be utilized in support of the following specific goals:

257

1.1 Attracting, recruiting and retaining students who have high academic ability;

1.2 Attracting, recruiting and retaining students who have recognized talents and abilities in fields associated with cultural development

1.3 Attracting, recruiting and retaining students who have recognized skills complementary to the University’s sports program and who desire to participate in those programs;

1.4 Attracting, recruiting and retaining students who come from disadvantaged socio-economic backgrounds and have the promise and desire to pursue courses of study offered at the University.

2 General Guiding Principles

2.1 Strathmore University offers financial aid to students who have been determined to have financial need, according to a need analysis conducted by the University.

2.2 The financial aid awarded depends on the financial need, the availability of funds at the University, and any other aid the student is receiving.

2.3 The financial aid package may include bursaries, scholarships, loans, work- study, or a combination of these funds.

2.4 All financial aid programs will be administered in accord with applicable University regulations and donor policies.

2.5 All undergraduate aid applicants will be advised to apply for HELB Loan, when applying for campus-based student aid programs.

2.6 Aid support will be administered so that aid applicants are treated equitably with respect to the types of aid offered (bursary, scholarship, loan or work- study).

2.7 Students shall not receive duplicate aid from multiple sources.

2.8 Tuition waivers will not automatically include waivers for mandatory student fees.

3 Advisory Committee on Student Financial Aid

3.1 There shall be an Advisory Committee on Student Financial Aid, hereafter referred to as Advisory Committee, which shall have oversight role for the administration and management of the University’s student financial aid programs in accordance with the established financial policies.

258 3.2 The responsibilities and composition of the Advisory Committee are described in Statute XXIX-E.

3.3 The Advisory Committee shall meet at least once every semester and submit reports to the Vice Chancellor, the Management Board and the Academic Council.

4 The Student Financial Aid Office

4.1 The Student Financial Aid Office, hereafter referred to as the Financial Aid Office, shall be established to deal with the administration and management of the University’s student financial aid programs. The Office shall fall under the Academic Administration Department and shall be headed by an Officer of the rank of at least manager in the University’s job grading structure. The Head of the Financial Aid Office shall report to the Registrar.

4.2 The Financial Aid Office shall be responsible for the following matters: (a) Receiving, compiling and processing applications for financial assistance and giving timely feedback to students on the status of their applications;

(b) Designing and administering “Application for Student Aid Form” that provides a consistent and objective way of measuring the ability of families and/or students to pay educational costs.

(c) Use the information provided by applicants in the application form, coupled with personal interviews with students and their parents as may be necessary, to determine the eligibility of applicants for the award of financial aid; and advising the Advisory Committee appropriately;

(d) Prepare schedules of financial aid awards, in accord with the University’s policy guidelines, for consideration by the Advisory Committee;

(e) Maintaining a database of all applications for financial aid showing the status of the applications and the feedback given to students; (f) Maintaining a database showing up-to-date profiles (enrolment status, satisfactory academic progress, renewal eligibility, etc.) of all students on financial aid in the University;

(g) To review policy and operational guidelines and procedures relating to administering financial aid programs in the University and make recommendations to the Advisory Committee.

(h) To collaborate with the Admissions Services Office in planning and assessing the effectiveness of student recruitment strategies and in

259 maximizing the utilisation of bursaries, scholarships and other forms of financial aid to recruit new students.

(i) To establish and administer the “University Scholars Program (USP)” to facilitate and maintain effective communication with students who receive scholarships and bursaries offered or administered by the University. Through this program the Financial Aid Office orients, monitors, and assists students who receive specific SU scholarships. Scholars are encouraged to be involved in special leadership and service opportunities designed to enhance their personal and academic experience.

(j) To promote the formation of University Scholars Association, as a student run organisation comprising mostly USP scholars, but with membership open to all SU students. The purpose of such an organisation is to meet the need of uniting the student scholars at Strathmore University and; to provide the students with opportunities to develop leadership qualities to serve the University and popularize community service projects;

(k) To liaise with the Advancement Office to solicit to funds that may be used to provide scholarships and bursaries to students.

5 Applying for Financial Aid

5.1 All applications for financial aid should be completed by March 1 for students enrolling in July, and November 1 for students enrolling in January. Applications are accepted throughout the academic year, but awards made after the recommended deadlines depend on fund availability. A new application must be completed for each academic year.

5.2 Eligibility is determined by completing the Application for Student Aid Form(ASAF).The information provided in the ASAF provides a consistent way of measuring the ability of families and/or students to pay educational costs. The student is determined to have need if the cost of education exceeds the student's available resources.

6 Eligibility Criteria for Student Financial Aid

6.1 In order to receive financial aid, students must have completed the entire admissions process and be accepted into a degree or eligible certificate program.

6.2 A student may be eligible for financial assistance if he or she is: (a) Maintaining a full time registration status (b) In good academic standing and making satisfactory academic progress according to the standards and practices of the University; (c) Not in default in the repayment of any educational loans;

260 (d) Eligible in terms of assessed or computed financial need, and/or recognized skills and talents in sports; (e) Eligible in terms of demonstrated high academic ability as specified for various scholarship programs.

6.3 If at any time the student ceases to be eligible, awards will be cancelled.

7 Operational Guiding Principles

7.1 Financial aid awards are based on the enrolment status of the applicant as of the 14th calendar day of the semester. Any course added after that time will not be covered by financial aid and will be billed directly to the student.

7.2 Students should remember that: (a) Financial Aid cannot be used for non-credit courses offered through the Continuing Education Program. (b) Financial aid cannot be used for audited courses. (c) Withdrawal during the first two weeks of any semester will result in the cancellation of all financial aid. (d) Financial aid does not cover the cost of any course for which a student registers and never attends. The charges for any such course become the responsibility of the student who will be billed directly by the finance office. (e) Financial aid shall be available for the evening or part-time students only in exceptional circumstances and each case shall be dealt with on the basis of individual merit.

7.3 Students are responsible for reading and understanding all forms they are asked to sign and should keep copies of all documents submitted to the Financial Aid Office. Students and their families should be aware that they are completing applications for University and donor funds.

7.4 Financial aid recipients must inform the Financial Aid Office in writing of any change in name, address, marital status, family size, or financial circumstances. Deliberately misreporting can result in criminal and civil liabilities.

7.5 The University expects the student to initiate the application process in a timely manner, and considers it his or her responsibility to complete the application on time. Incomplete applications will not be reviewed.

7.6 Students with questions concerning the accuracy or completeness of their applications should contact the Financial Aid Office.

7.7 Late applications will be awarded on a funds available basis. Application materials cannot be accepted after a student's last date of attendance.

261 7.8 The only formal announcement of financial aid is an award letter or email sent by the Financial Aid Office.

7.9 Financial aid is granted for one academic year only. Aid for subsequent years is offered only if all renewal application materials are filed by respective deadlines.

7.10 Undergraduate students are limited to eight semesters of financial aid, unless otherwise approved by the Advisory Committee. Appeals should be addressed to the Head of Financial Aid Office.

8 Satisfactory Academic Progress Policy

8.1 A student receiving the University’s financial aid or other financial aid directly administered or certified by the University must maintain satisfactory academic progress towards the completion of a certificate or degree program of study.

8.2 Satisfactory Academic Progress (SAP) for financial aid recipients is measured by both quantitative and qualitative standards and is an assessment of a student's cumulative academic record at the University. Students should be aware that the Satisfactory Academic Progress Policy for financial aid recipients differs from the institutional Satisfactory Academic Progress Policy.

8.3 Financial aid recipients are expected to make reasonable academic progress to obtain a degree or certificate as a condition to be eligible for financial aid funding. A student’s entire academic history as recorded on their academic record with the University is reviewed as a requirement of timely progression toward graduation, regardless of having received financial aid or not in the past for that course work.

8.4 Satisfactory Academic Progress requires financial aid recipients to meet the following three components: (a) Meeting minimum cumulative SU grade point averages (GPA) (b) Satisfactorily completing 100% of cumulative credit hours attempted (c) Completing a degree/certificate program within the maximum time frame of credit hours allowed. 8.5 The qualitative measure is the SU cumulative grade point average (GPA) measured at the end of each completed semester or term of attendance. Student GPA must be in the range 3.0 to 4.0 for all degree programs. Transfer credits are not considered in the qualitative measure for GPA.

8.6 The quantitative measure is the pace at which a student is progressing towards degree completion and is summarized as the total number of credit hours successfully completed (passed) divided by the total number of credit hours actually attempted. Financial aid recipients must satisfactorily complete 100% of all cumulative credit hours attempted. Transfer credits

262 from other colleges and universities will be considered in the number of attempted and passed hours.

8.7 Maximum Time Frame: A student is expected to complete one degree within a reasonable prescribed time frame. An undergraduate may not exceed 150% of published program duration over the course of obtaining their degree. If the maximum program duration is exceeded, the student is considered financial aid ineligible.

8.8 Satisfactory Academic Progress is monitored at the end of each semester or term. Students meeting the GPA and Pace components of the SAP policy are considered to be in good standing and retain their aid eligibility.

8.9 A student becomes ineligible for financial aid if he fails to meet the qualitative (GPA) or quantitative (Pace) measures of the SAP policy. Students not meeting the minimum standards for SAP will be notified by the Financial Aid Office.

8.10 Students who fail to meet these standards and lose eligibility for financial aid can appeal the decision. The appeal must be prepared in writing and must be accompanied by the appropriate supporting documents within the first six weeks of the term; appeals received after week six may not be reviewed prior to the next term. Appeals will be reviewed by the Financial Aid Appeals Committee. The Appeals Committee will respond in writing to each student regarding the outcome of their appeal.

9 Policy for Refunds

9.1 The University’s financial aid rules assume that a student earns his or her aid based on the period of time he or she remains enrolled for the semester or term. Unearned aid, other than work-study, must be returned to the financial aid provider up until the 60% point in the term. At the 60% point in the term, the student is considered to have earned all of his or her aid.

9.2 Students who officially withdraw between the 15th day and the 60% point (generally the 9th week) in any semester will be subject to a calculation to determine how much financial aid was actually earned.

9.3 Students who stop attending classes at any time during a semester or register and never attend are considered unofficial withdrawals. The University will perform the calculation and will assume that 50 per cent of the student’s financial aid was earned.

9.4 Students must remain in attendance to be eligible for refunds of financial aid monies after all debt to the University is satisfied. If a student does not remain in attendance, the excess aid will be returned to the University or to the respective financial aid provider. In the case of students who withdraw,

263 payment will be prorated based on length of attendance according to the University’s refund calculation.

10 Currently Available University Programs

10.1 SU Academic Scholarships is a grant based on need and restricted to students pursuing a first undergraduate degree and who have demonstrated outstanding academic ability.

10.2 SU sports scholarships is a grant based on recognized skills and talents in sports and usually awarded to students pursuing a first undergraduate degree who have demonstrated high academic ability.

10.3 SU-EU Scholarships is a grant based on high academic ability and is awarded to KCSE graduates to study professional certificate and diploma courses in accountancy and information technology respectively.

10.4 External Scholarships is a grant based on need and outstanding academic ability; and is normally awarded to students pursuing a first undergraduate degree who meet additional criteria that may be set by the provider of financial aid.

10.5 Tuition fee waivers/subsidies are normally granted by schools and faculties who have met their budget enrolment targets to attract and retain top performing students at KCSE. The University also grants tuition fee subsidies to students who have shown outstanding performance as members of various University sports teams and who maintain satisfactory academic progress. The waiver or subsidy is restricted to not more than 90% of tuition fees.

10.6 Student Loan Schemes are available to all students who meet the eligibility criteria. Financial aid eligibility must be determined before loan applications can be processed. Currently the following loan schemes are available-SU- Loan; SU-Chase Bank; KIVA.

10.7 University Work Study is a program for students with financial aid eligibility which provides an opportunity for students to work and earn an income. It is expected that any earnings will be used for costs relating to attendance at the college. 10.8 State Programs -HELB Loan is a state loan awarded by the government in various amounts to full time students with demonstrated financial need. Students must be Kenya citizens in order to qualify.

264 SCHEDULE XVI: GUIDELINES FOR MANAGING PERSONAL DATA

1 Introduction

1.1 The following guidance provides simple and accessible guidelines to University staff and students involved in the management of personal data. It provides solutions to the kinds of everyday problems encountered by staff and students who handle personal data, particularly in relation to disclosure of data.

1.2 The guidelines should always be updated to cover new issues as they arise.

2 Third Party Requests for Personal Data

2.1 Confirmation of Attendance or Employment at the University

(a) The University receives regular requests from a whole range of sources asking staff to confirm if a student is attending the University or a member of staff works here. Obtaining written consent from the individual concerned is the best way to proceed on this, but it is possible to provide confirmation without seeking consent. The University Data Protection Policy allows disclosure of data to a third party if it is for the purposes of a legitimate interest pursued by the third party and only if disclosure would not prejudice the “rights and freedoms or legitimate interests of the data subject”.

(b) Where there is a genuine legal right for the third party to receive confirmation, disclosure would be acceptable. Under these circumstances, if genuine, the third party requesting the confirmation should be asked to explain the legal basis for their enquiry. Any doubts should be discussed with the University Secretary prior to disclosure.

(c) If the data subject is not known to the University, the Policy does not apply as no personal data is being held by the University and confirmation can go ahead.

2.2 Financial Sponsors

(a) As someone responsible for the financing of a student’s education, a relative or formal financial sponsor (whether an individual or an organisation) often feels they have a right to know anything about that student. This is not the case. Under these circumstances the general rule remains that students are private individuals and the University has no responsibility or obligation to keep financial sponsors informed of any aspect of their studies or private lives.

(b) Where a student does receive financial assistance with fees and/or living costs from an external source such as a relative or formal

265 financial sponsor, it is sometimes justifiable to disclose limited, relevant information. Whether disclosure is permissible or not very much depends on the individual circumstances of the case and advice should always be sought from the Registrar before any disclosure is made.

(c) If a student and formal sponsor have signed a contract setting out data access rights for the sponsor, information can be supplied in accordance with that contract.

2.3 Handling false qualification claims

(a) It is possible that staff will encounter situations where they are asked to confirm the details of an individual who has lied about the qualifications they hold. In cases where the individual never had a relationship with the University, it is permissible to go ahead and confirm that the University holds no record of that individual. As no personal data is held no data protection principle needs to be applied.

(b) If the individual has studied at the University (for example, they failed a programme of study but are now claiming that they passed), the Policy allows us (without consent) to inform third parties that a student does not have the qualifications they claim to have.

2.4 Parental/Relatives involvement

(a) The University often receives enquiries from relatives about a student or even a member of staff. In accordance with the Data Protection Policy, the general rule must be that students and staff are private individuals and the University has no responsibility or obligation to keep their relatives informed of any aspect of their studies, professional activities, or private lives. As such, data can only be disclosed in accordance with the Policy paying particular attention to sensitive personal data requirements.

(b) Generally, good practice is that personal data is not disclosed without the consent of the student involved. Written rather than verbal consent is also recommended. The University is also obliged to ensure that a letter of consent is genuine before proceeding.

(c) In cases where an individual’s life or health is threatened, the usual need for consent before disclosing to relatives may be waived since in such cases disclosure protects that person’s “vital interests”.

2.5 Requests from the Police or other Officials

(a) Occasionally, the University receives requests from the police and officials for personal information. Disclosing data under these

266 circumstances is not compulsory unless the University is served with a Court Order. However, the University will always aim to assist any officials as far as possible.

(b) The SU Data Protection Policy does allow disclosure of data if it relates to: i) the prevention or detection of crime; ii) the apprehension or prosecution of offenders; or iii) the assessment or collection of any tax or duty.

(c) In these cases, before proceeding staff should confirm with the police that the reason for the request is that they wish to contact a named individual about a named criminal investigation. Good practice is to request written confirmation of this by a senior officer.

2.6 Requests from Immigration Officials

(a) The University often receives requests from immigration officials about individuals either studying at or on their way to the University. The Data Protection Policy allows us to disclose information if it is required by law to do so. An immigration official making a genuine enquiry about an individual should disclose details of any such legal requirement on their part.

(b) As with all external requests for personal information, verifying the identity of the person requesting the data and the purpose of the request is important.

2.7 Student and Staff Contact Details

(a) Occasionally, University staff receive requests from individuals for student or staff contact details to enable distribution of information relating to a social, professional or University-linked event. Allowing access to contact details for this purpose is permissible under as long as it is done in a limited way.

(b) Staff should never pass personal data on to profit-making organisations or individuals. Any doubt should be discussed with the University Secretary.

2.8 Verification of Qualifications/Handling reference requests

(a) The University receives regular requests for student information from employers, recruitment agencies, other HE institutions, and other similar bodies. Such requests tend to be for confirmation of qualifications or requests for references in the context of considering a former student for a place on a programme of study or for a job. When responding to these requests, it is vital however that the identity of the

267 person requesting the reference is always confirmed prior to going ahead.

(b) Disclosure should not be made directly to an enquirer over the telephone. It is strongly recommended that all enquirers should be required to submit their request in writing on headed paper.

(c) When requests are received by e-mail, the identity of the enquirer is not always clear. Those responding are advised to work on the same principle as they would when responding to a telephone request. Good practice is to e-mail back explaining that it is University policy to confirm the identity of those requesting information about former students and to ask for a postal address for the organisation requesting the data and a telephone number for a named individual at the organisation. Once these are received, it is a good idea to check the organisational address and telephone the named individual to confirm both the request and the e-mail address to where the information should be sent.

(d) In general terms, the disclosure of data relating to the verification of qualifications should be limited to a student’s period of study and marks and/or degree class received. Further disclosures are likely to be irrelevant and excessive. With references, more detailed information is likely to be required, although staff should reserve the right not to answer certain questions, particularly in relation to sensitive personal data.

3 Applying Data Protection Principles to University Activities

3.1 Data Sharing within the University

(a) In data protection terms the University is considered to be the data controller; a single entity processing personal data about a large number of individuals. This means that “disclosure of data” is considered to have taken place if it has passed outside the University to an external third party. This does not mean however that data can be shared freely within the University.

(b) The first data protection principle states that data must be processed fairly. Consequently, if somebody asks for access to an individual’s personal data, disclosure must only then be made if the other person needs it to do their job. If this is not the case or it is unclear, contact the University Secretary who will help to confirm whether disclosure is possible.

3.2 Displaying Photographs

268 In some departments and sections of the University, it is common practice to post photographs of staff and students on notice boards and web pages, along with some biographical information. While this is not illegal under the Policy it is worth noting that an individual is entitled to refuse to have their photograph or personal information published in this way even if access is limited to the University campus. It is good practice to check with the individuals concerned before proceeding.

3.3 Examination Marks/Results

(a) When a student requests access to examination marks, s/he is entitled to see preliminary marks and comments that contribute to final assessments. In the event of a subject access request, the University is obliged to provide access to all examination marks either within one month of the request (assuming the results have yet to be published) or fourteen days after the official release of results - whichever is sooner.

(b) Students who are in debt to the University shall have no rights of access to their results.

3.4 Examination Scripts

(a) Examination scripts shall be exempt from disclosure in the event of a subject access request. This means the University is not obliged to provide copies for students who ask for them. We are entitled, however, to release scripts at our own discretion.

(b) Current University policy states that students have no automatic right of access to examination scripts, but a student who has received a fail mark or been offered a re-sit may have access to his/her script in the presence of a member of the teaching staff where this is judged to assist in the process of advising on examination performance. Under these circumstances, the student is not permitted to take originals or copies away with them.

3.5 Examiners’ Comments

Comments by internal and external examiners shall be accessible by students. It is recommended that examiners’ comments should be typed on separate sheets and not made directly on examination scripts. Examiners need to be made aware of this in advance.

3.6 Home Working

(a) When working from home, the same level of adherence to the data protection principles must be maintained in relation to personal data. Special care should be taken in the transport of personal information.

269 Good practice is to maintain a system for keeping a record of who has taken documents containing personal information off the University premises.

(b) Consideration of the data protection principles is also necessary in relation to electronic personal data accessed or processed at home.

3.7 Implications of e-mail

(a) When writing and dealing with e-mails always have regard for the principles of data protection and any applicable legislation and think about how they affect what you are doing. Writing or processing an e- mail should always be viewed in the same light as a letter or a fax.

(b) To ensure consistency it is also important that e-mails are filed well to ensure an efficient response to a subject access request. This could mean the establishment of a structured electronic filing system. Alternatively, an e-mail should be printed out, filed in the appropriate manual file, and then deleted electronically.

(c) Always consider the implications of distribution lists if sending an e- mail that includes personal data. For example, sending somebody's address or contact details to the "all staff" distribution list is unacceptable. There is also the potential for unwarranted disclosure of data outside the University if distribution lists are used in this way.

3.8 Maintaining files on individuals

(a) For files held on both staff and students, it is common practice to file and maintain all relevant data relating to an individual as a record of that person's time studying or working at the University. Those responsible for maintaining individual student or staff files must always consider adherence to the data protection principles.

(b) Data subject access rights enable individuals to obtain copies of their files on request, and thus see what information is held about them. It is vital that offensive, derogatory or damaging remarks are never kept on file. This applies equally to print out e-mails, notes of meetings or conversations, or any other way in which data of this kind could be processed.

3.9 Personal Data on Notice Boards in Corridors

(a) As a rule, posting personal data on a public notice board should not be done particularly and especially if it relates to sensitive personal data such as the disclosure of religion, tribe, health status, etc.

270 (b) Publishing exam pass lists in this way is a long-standing practice and may be allowed to continue. It is important to note though that any student who objects is entitled to have their name removed from the lists.

(c) In order to ensure compliance with the first data protection principle, students must be informed of the means whereby their examination results will be made available to them and, if it involves public disclosure, given the opportunity to object and ask for an alternative means of notification.

3.10 Publishing Names/Personal Data on the University Website

(a) Publishing personal data on the Internet discloses it automatically on a worldwide basis. If not done in the correct way, you leave the University open to charges that it has failed to hold data securely or prevent it from reaching countries outside Kenya. The simple answer to this is to refrain from publishing personal data in this way unless it relates to an individual’s official role or function in relation to the University.

(b) It is also important that anybody whose name and/or data appear on the website is aware that it is there and that mechanisms are in place to enable them to object and if necessary to have it removed. This applies to data available both on campus only and through the worldwide web, as well as to staff and students alike or any other individual whose details may appear.

(c) If an individual has given explicit consent for any of their personal data to be published in this way, it is permissible to do so.

3.11 Access to References Provided by the University for Former Staff and Students

(a) References provided by the University to external organisations are exempt from disclosure by the University to the individual in question. Therefore if an individual requests to see a reference provided by the University, disclosure is not necessary.

(b) Those writing references within the University need to be aware that the recipient organisation of any reference may have a duty to disclose it should the individual in question request to see it. It is possible that the University will be asked by the recipient for consent for disclosure, but even if consent is not given the recipient may still be able to disclose it. The safest way to proceed is to assume that it will be possible for an individual to access a reference at some point.

271 3.12 Access to References Received by the University in relation to Staff and Students The University must always attempt to gain consent from the original referee before disclosure to the individual in question. If consent is not given by the original referee the University is still obliged to make a judgement on whether we owe a duty of confidentiality to them. As long as we can justify our decision we could still disclose the reference. If we decide not to disclose it, again we have to be able to offer a good reason for non-disclosure.

3.13 Research Activity

(a) For staff and students involved in processing personal data for research activity, the data protection principles still apply. Researchers are always advised to provide as clear guidance as possible to data subjects, whose personal data will be used in research, paying particular attention to why the data is being collected and the purposes for which it will be used.

(b) If the purpose of the research is not for measures or decisions targeted at particular individuals and it does not cause substantial distress or damage to a data subject, it is exempt from the following:

i) the second data protection principle – this means that personal data can be processed for purposes other than for which they were originally obtained;

ii) the fifth data protection principle – this means that personal data can be held indefinitely; and

iii) the data subject’s right of access to his personal data – but only where the data is processed for research purposes and the results do not identify data subject(s).

(c) These exemptions mean, for example, that staff and students involved in academic research can keep records of questionnaires and contacts so that the research can be re-visited at a later date, or so that they can re-analyse the information in support of a research project looking at an associated area.

(d) It is important to note that to be able to maintain the exemption on data subject access rights, the results of research or any resulting statistics must not be made available in a form which identifies any data subjects. In short, researchers must ensure that data is anonymised for publication purposes.

(e) If the data is completely anonymised and no ‘key’ to the identity of the data subject is held by (or is likely to come into the possession of) a

272 researcher then the principles of data protection will not apply as this no longer constitutes “personal data”.

3.14 Internal Requests for Personal Information

(a) Personal data pertaining to students and staff of the University shall only be disclosed within the University to members of staff who need to know it in order to carry out their duties or to others connected with the University for University-related activities or events.

(b) The University is a single data controller so we are not technically disclosing data unless it goes outside the University. While it is not good practice to pass data around in ways which could lead to inadvertent disclosure, targeted disclosure made on a need-to-know basis is the desirable way to proceed.

3.15 Employing Students at the University

(a) When a currently-registered student is employed at the University while continuing their studies, consideration needs to be given to the extent to which the student will have access to personal data about other students as part of their duties. If the duties of the job performed by the student require access to student files, to the Student Records Database, or to other personal data relating to students, it is important that the student is made aware of the data protection principles and the University’s obligations to protect personal data in its possession.

(b) Staff members who are not students are not required to sign any documentation in order to demonstrate that they accept the obligations relating to the management of personal information. Given the sensitivity of allowing students to have access to personal information about other students, however, it is recommended that any currently-registered student employed by the University in a job that requires access to student data is required to sign a statement at the start of their employment. This statement should require the student to acknowledge and agree to the obligations relating to the management of personal data.

3.16 How subject access right requests are handled

(a) Any person may exercise the right to request personal data held about them by submitting a written or e-mailed request to the University Records Manager.

(b) The University is not obliged to provide any data unless sufficient information is provided to identify the data subject and locate any data which it might hold.

273 3.17 Processing General Personal Data

(a) Personal data is being processed throughout the University all the time by a significant proportion of University staff and in some cases students. Predominantly, this constitutes contact details, academic performance, attendance and disciplinary records for students, and the equivalent for staff.

(b) At the beginning of an individual’s relationship with the University, they must be notified officially of the need and intention to process their personal data and are also informed of the purposes for that processing. Consent should also be obtained where necessary for data to be held.

(c) Once information is in the possession of the University, staff must process it in accordance with the data protection principles paying particular attention to security, accuracy, length of time held and the purpose for which it was originally obtained.

(d) Consent is normally the best (and most common) route to enable data of this kind to be processed. However the University allows other ways to process data without obtaining consent. These are:

i) for the performance of a contract; ii) for compliance with any legal obligation to which the University is subject, other than an obligation imposed by contract; iii) to protect the vital interests of the data subject; iv) for the administration of justice; v) to exercise any functions brought about by legislation; vi) to exercise any functions of a Government Department; vii) for the purposes of legitimate interests pursued by the University or by a third party requesting data (except where the processing may prejudice the rights and freedoms or legitimate interests of the data subject).

3.18 Processing Sensitive Personal Data

(a) “Sensitive personal data” relates to information concerning a data subject’s ethnic origin, political opinions, religious beliefs, Trade Union activities, physical or mental health, sexual life, or details of criminal offences.

(b) As with general personal information, there are a number of circumstances that enable the processing of sensitive personal data without consent. However, if consent is used as a way to process such data, it is important to require explicit consent. In cases where individuals have submitted sensitive data about themselves, this can be considered as consent in itself for the data to be processed,

274 although it is still important to keep the individual informed about how the data is being used.

i) University activity relating to employment; ii) to protect the vital interests of an individual where consent cannot be given (such as a medical emergency); iii) where the University cannot reasonably be expected to obtain consent; iv) to protect the vital interests of an individual where consent has been unreasonably withheld; v) legitimate activities carried out by the University; vi) where the data has already been made public by the data subject; vii) for legal proceedings (including prospective legal proceedings); viii) to exercise any functions brought about by legislation; ix) to exercise any functions of a Government Department; x) to exercise any functions of a public nature exercised in the public interest by any person; xi) for medical purposes undertaken by a health professional, or equivalent; and xii) for equal opportunity purposes.

(d) Sensitive information must be protected with a higher level of security. It is recommended that sensitive records are kept separately in a locked drawer or filing cabinet or in a password-protected computer file.

3.19 The Subject Access Right

The University shall uphold the “subject access right” which enables individuals, subject to certain specific exemptions, to receive a copy of all personal data held about them by the University. The right extends to all data whether held manually or electronically. Personal data contained within e-mails shall be subject to access requests.

3.20 Third Party Data and the Subject Access Right

(a) When an individual makes a “subject access request”, and it is not possible to provide some of the data without disclosing information relating to another individual, the University shall not be obliged to provide the data in question unless the other individual has consented to its disclosure or it is reasonable to do so without the consent of the other individual.

(b) In determining whether it would be reasonable to provide the data, the University must consider any duty of confidentiality owed to the

275 other individual; any steps taken by the University to seek consent; whether the other individual is capable of giving consent; or any express refusal of consent by the other individual.

SCHEDULE XVII: REGULATIONS FOR THE AWARD OF HIGHER DOCTORATES

1 Introduction

Higher doctorates are awarded for work of high distinction as defined in the following regulations.

2 Regulations for the Award of Higher Doctorates

2.1 The higher doctorates awarded by the University are the Degrees of: (a) Doctor of Laws (LLD) (b) Doctor of Letters (DLitt) (c) Doctor of Science (DSc) (d) Doctor of Technology (DTech).

2.2 Applicants shall state which higher doctorate is being sought.

2.3 The work submitted shall be of high standard and should constitute an original and significant contribution to the advancement of knowledge or to the application of knowledge or to both and should establish that the applicant is a leading authority in the field(s) of study concerned.

2.4 The DTech shall be restricted to a person whose contribution has principally been to developments in the application of knowledge.

2.5 Applicants should normally:

(a) Be graduates of Strathmore University of at least seven years standing; or

(b) Be holders, of at least seven years standing, of a first degree awarded by any other University recognized by the Academic Council or of a qualification of equivalent standing; or

(c) Be holders, of at least four years standing, of a higher degree awarded by a University recognized by the Academic Council or of a qualification of equivalent standard; or

(d) Currently hold an appointment as a full time member of the teaching or research staff of the University, for not less than three consecutive years, or be a Visiting Professor of the University.

276 2.6 Applicants, other than those referred to in 2.5(d) above, should have identified a professor on the fulltime teaching staff willing to act as sponsor.

2.7 An applicant shall submit three copies of the work on which the application is based to the Dean of the School of Graduate Studies. The submission may take the form of books, contributions to journals, patent specifications, reports, specifications and design studies and may also include other relevant evidence of original work. All material, other than books, shall be secure in one hardback folder, or more if necessary, each containing a title and contents page. An applicant should state which part of the submission, if any, has been submitted for another academic award. The contents of a submission shall be in English.

2.8 In addition to the copies of the work on which the application is based, the applicant should submit three copies of each of the following all of which must be typewritten or word processed:

(a) A completed application form; (b) A statement of not more than one thousand words setting out the applicant's view of the nature and significance of the work submitted; (c) A full statement of the extent of the applicant's contribution to any of the work submitted which involves joint authorship or other types of collaboration; (d) A statement by the candidate as to whether or not the work or any part thereof has been submitted, successfully or unsuccessfully, for a degree of this or any other University; (e) The appropriate fee will be requested by the School of Graduate Studies.

2.9 On receipt of an application for a higher doctorate, the Dean of the School of Graduate Studies will constitute a Higher Doctorate Panel to consider whether a prima facie case for proceeding toa formal examination of the submission has been established. The Higher Doctorate Panel shall be chaired by the Deputy Vice Chancellor for Research or his/her nominee, and shall have three members drawn from the Research Committee and a minimum of two external members who shall hold a Higher Doctorate and have relevant expertise. Having considered the detail of the application and, if deemed appropriate, taken further advice or interviewed the candidate, the Higher Doctorate Panel shall decide whether or not there is a prima facie case.

2.10 If a prima facie case has been established, the Dean of the School of Graduate Studies will submit the application to two external examiners each of whom shall be asked to make an independent report on the application. The examiners may, at their discretion, require the applicant to attend for interview or may call for further information.

277 2.11 The examiners shall advise the Board of Graduate Studies on whether or not the applicant has satisfied the following criteria: (a) The work submitted must be of high distinction; (b) It must constitute an original and significant contribution to the advancement of knowledge, or to the application of knowledge, or to both; (c) The work must establish that the applicant is a leading authority in the field(s) of study concerned.

2.12 The Board of Graduate Studies shall determine whether or not to award the degree, and report the outcome to Academic Council for a final decision.

2.13 There shall be no appeal against the decision of the Academic Council. Unsuccessful applications shall be confidential to the applicant, the Higher Doctorate Panel, the Examiners, the Board of Graduate Studies and its Secretariat. No reasons for the decision will be given.

2.14 Candidates who have been unsuccessful in their applications for a Higher Doctorate are permitted to make only one resubmission. The resubmission may not be made until a minimum of three years have elapsed since the date of their original submission. 2.15 If successful, one copy of the complete submission shall be submitted to the Graduate Studies Office. In addition, the applicant is required to submit an identical electronic copy of the thesis and associated documentation in the required format for possible submission to the University's plagiarism detection service before final submission to the University Library. It is the applicant's responsibility to ensure the reprographic accuracy of each copy of the documentation and any artefacts submitted.

2.16 Resubmission for a higher doctorate would be considered providing that a minimum of two years had elapsed since the first application and that the new submission contained significant new material.

278

279